ML20141A549
| ML20141A549 | |
| Person / Time | |
|---|---|
| Issue date: | 05/05/1997 |
| From: | Lohaus P NRC OFFICE OF STATE PROGRAMS (OSP) |
| To: | Broderick M OKLAHOMA, STATE OF |
| References | |
| NUDOCS 9705140355 | |
| Download: ML20141A549 (157) | |
Text
{{#Wiki_filter:. ~ . - _ . . - . _ -- _ . - - . . - - - - - _ - - - - . - - _ _ _ . . j Mr. Mike Brodarick Environmantal Program Administrator fgy , g Id37 Radiation Management Section < Department of Environmental Quality 1000 Northeast Tenth Street Oklahoma City, OK 73117-1212
Dear Mr. Broderick:
1 In response to your request for additional background information on the Agreement State i Program, attached is the following information:
- 1. Notice of Agreement with the Commonwealth of Massachusetts, Federal Register, Vol. 62, No. 66, p.16628.
i 2. Final NRC Staff Assessment of the Massachusetts Program, and Summary Staff Assessment published in the Federal Register, Vol. 62, No. 6, j January 9,1997. I j 3. Event Reporting Handbook. 3 4. List of Regulatory Guide Series. Regulatory Guidance relevant to health 4 physic's issues may be found in Reg. Guide Divisions, 2,3,4,6,8 and 10.
- 5. Chronology of Amendments, as of March 20,1997.
- 6. NUREG-1274, Review Process for Low-Level Radioactive Waste Disposal i License Application Under Low-Level Radioactive Waste Policy Amendments Act, April 1991.
- 7. Executive Order 11988, Floodplain Management Guidelines.
I apologize for the delay in getting this information to you. After you have had a chance to review the information, please let us know if you have any questions. I can be reached at i (301) 415-2326 and Patricia Larkins can be reached at (301) 415-2309. I i Sincerely, J Original Gigned Dy: i PAUL H. LOHAUS
- 9705140355 970505 Paul H. Lohaus, Deputy Director j PDR STPRGESQOhgg Office of State Programs
Enclosures:
4 As stated ] gob n j Distribution:
\
p g 3 ,, DIR RF DCD (SP08) ] SDroggitis PDR (YES V' NO ) OK File ! DOCUMENT NAME: G:\PML\OKINFO.PL *See previous concurrence. Te ncu . copy of ihi. nocument. indices. in th. box: c = Copy without .ti.chment/ enclosure *E* = Copy witW)stt.chment/ enclosure 'N" = No copy [ OFFICE OSP l OSP:DD l OSP:D / / fj' NAME PMLarkins:nb PHLohaus RLBandart' " DATE 04/30/97* 05/01/97* 0505797 OSP FILE CODE: SP-NA-16 / NRC HLE CENTEPe 08PY
1 Mr. Mika Brod: rick Environm:ntcl Program Administrator R diation M:ntg: ment Section Department of Environmental Quanty 1000 Northeast Tenth Street Oklahoma City, OK 73117-1212
Dear Mr. Broderick:
4 in response to your request for additional background information on J e Agreement State Program, attached is the following information: j'
/
- 1. Notice of Agreement with the Commonwealth of Massachusetts, Federal Register, Vol. 62, No. 66, p.16628.
' /
/
- 2. Final NRC Staff Assessment of the Massachusetts Program, and Summary 1
l Staff Assessment published in the FederalRegister, Vol, 62, No. 6, January 9,1997.
- 3. Event Reporting Handbook. j L
- 4. List of Regulatory Guide Series. R9dulatory Guidance relevant to health I physic's issues may be found in bg. Guide Divisions, 2, 3, 4, 6, 8 and 10.
- 5. Chronology of Amendments, of March 20,1997.
l
- 6. NUREG-1274, Review Proc s for Low-Level Radioactive Waste Disposal License Application Under ow-Level Radioactive Waste Policy Amendments Act, April 1991.
We have made a request to securp a copy of Executive Order 11988, Floodplain Management Guidelines, referen ed in 10 CFR Part 61, and will provide a copy as soon as possible. I apologize for the delay ingetting this information to you. After you have had a chance to , review the information, pfl ase let us know if you have any questions. I can be reached at l (301) 415-2326 and Pa ticia Larkins can be reached at (301) 415-2309. l Sincerely, Paul H. Lohaus, Deputy Director Office of State Programs l Enc osures: As '. stated Distribution: DIR RF DCD (SPO1) SDroggitis PDR (YES / NO ) OK File r DOCUMENT NAME: G:\PML\OKINFO.PL to r.c.i.. . copy or ini. nocum.nt. ing,9.i. in in. bo : c-cophh .it.cnmentienciosur. r - copy wiin it.cnm.nt/.ncio.ur. n - No copy OFFICE g g SP Q d OSFjbQA l OSP:D l l NAME ~TSTlVILarkJhs:nb PHLahaus RLBangart DATE 04/dp /97 Qy// /97 04/ /97 OSP FILE CODE: SP-N A-16
l 16628
} Federal Register / Vol. 62 No. 66 / Monday ,
April 7
,1997 / Notices h, impact en plant cfflu:nts sad will not s result in any impact to the environment. Certificote of Comphance No. GDP-2: -
- 2. The proposed amendment wili not Amendment willincorporate a new subject SDMP site license and on March result in a sign!6 cant increase ir, Technical Safety Requirement, a revised 21,1997. NRC terminated the licent,e individual or cumul
- radiation exposure. ative owupational Technical Safety Requirement and and list. removed the site from the SDMP The proposed am Safety Analysis Report changes.
increase exposure. endment will not Imcal Public Document Room P location: Padumb Public Library,555A pendix-Text of the Agreement 4 3. The proposed amendment will not Washington Street, Paducah, Kentucky Agreement Between the United States result in a significant construction 42003. 1 Nuclear Regulatory Commission and e to amendmen 11 not of March 1997.Deted et Rockville. Maryland, the Commons sith of Massachusetts this 28th day i for the Discont Mance of Certain
' For the Nuclear Regulatory Commission.Commission R alatory Authority and there will be no construction impacts. Ard 8Pd*Ho, Responsibili Within the
- 4. 'Ibe proposed amendment will not result in a sigal6 cant increase in the Director. Ofbes ofNuclearMorena1 Safety ondahuad Commonwea th Pmuant to Section 2 of the Atomic Energy Act of1954, as potential for, or radiological or chemical (FR Doc. 97 4831 Filed 4-+-97; 8:45 aml Asnuded consequences from, previously analyzed accidents. *** "00' 7'"*
- Whereas, The United States Nuclear The proposed amendment to include -
Regulatory Commission (hereinafter e definition for compleuon time and to referred to as the Commission)is NUCLEAR REGULATORY define the max 2 mum time interval for COMMISSION authorized under Section 274 of the repetitive actions will provide more Atomic Energy Act of1954, as amended formality for the conduct of plant (hereinafter referred to as the Act), to operations. This mclusion will ensu28 Commonwealth of Massachusetts: entst into agreements with the Govemor consistent interpretation of the Discontinuance of Certain Regulatory Authority Within the Commissionof any State providing for requirements. The proposed changes do Commorrwealth discontinuance of the regulatory not affect the potential for or authority of the Commission within the radiological or chemical consequences AGEHcy: Nuclear Regulatory State under Chapters 6,7, and 8 and from previously evaluated accidents. Commission-ACT)ON: Section 161 of the Act with respect to
- 5. The proposed amendment will not Notice of agreement with the by product materials as defined in result in the possibility of a new or Commonwealth of Massachusetts. Sections 11e.(1) and (2) of the Act.
different kind of accident.
SUMMARY
- source materials, and special nuclear The proposed amendment to include Notice is hereby given that e definition for completion time and to Shirley Ann Jackson, Chairman of the materials form a critica inmass; uantities and, not sufficient to U.S. Nuclear Regulatory Commission Whereas define the maximum time interval for repetitive actions will ensure consistent (NRC) and William F. Weld, Governor of Commonwe, Tlne Govemor of the ,
interpretation of the requirements. The the Commonwealth of Massachusetts, alth of Massachusetts is changes will not create new operating have signed the Agreement set forth authorized under Massachusetts General 1.aws Chapter 111H, to enter into this conditions or a new plant configuration below for the discontinuance by the Agreement with the Commission; and. thatofcould lead to a new or different Commission and assumption by the Whereas type accident, Commonwe,'lb Governor of the Commonwealth of certain Commission alth of Massachusetts
- 6. The proposed amendment will not regulatory authority The Agreement is published pursuant to Section 274 of certified on March 28,1996, that the result in a significant reduction in any the Atomic Energy Act of 1954, as Comnionwealth of Massachusetts margin of safety.
A definition for completion time and amended. Under the Agreement, certain (herrmafter referred to as the Persons would be exempted from Commonwealth) has a program for the th) definition for a maximum time interval for repetitive acw a were not certain of the regulatory requirements of control of radiation hazards adequate to formally defined in the ; . and were the Commission. The pertinent Protect public health and safety with 8'spect to the materials within the exemptions have been previously th se definitions for completion timesubject to interpretatior, 'i ne addition of Pubbsbad Commonwealth covered by this , are codified in the Commission's Agreement, and that the Commonwealth cad the maximum time interval or f regulations as to CFR part 150. destres to assume regulatory repetitive actions provides more f;rmality for the conduct of plant f*SPonsibility for such materials; and, FOR FURTHER INFORMATION CONTACT: operations. The proposed changes cause Richard L Blanton, Office of StateWhereas,The Commission found on March 3,1997, that the program of the no reductions in the margins of safety, s'rogramr, U.S. Nuclear Regulatory
- 7. The proposed amendment will not Commission, Weshington, DC 20555 Commonwealth for the regulation of the result in an overall decrease in the 0001. Telephone (301) 415-2322 or ,. materials covered by this Agreement is ,
cffectiveness of the plant's safety, mail RLB@NRC. GOV. compatible with the Commission's safeguards or security programs. The draft of the Agreement was Program for the regulation of such The proposed amendment to include published in the Federal Register for materials and is adequate to protect a d finition for completion time and to comment on four separate dates (see. Public health and safety; and. defino the maximum time interval for e g. 61 FR 68066, December 26,1996). Whereas, The Commonwealth and the repetitive actions provides more One comment was received which Commission recognize the desirability formality for the conduct of plant requested that NRC retain jurisdiction and importance of cooperation between cperations. The effectiveness of the over a site listed on the Site the Commission and the saf;ty, safeguards, and security Decommissioning Management Plan Commonwealth in the formulation of programs is not decreased. (SDMP) until the NRClicense for the standards for protection against hazards Effectwe date. 30 days after issuance site is terminated. NRC expedited the of radiation and in assuring that actions necessary to terminate the Comm6nwealth and Commission programs for protection against har.ards
* \
l Fed;r:.1 Registir / Vol. 62. No. 66 / Monday, April 7,1997 / Notices 16629 l r of radiation will be coordinated and in Article II, paragraph E, whereby the and procedures by which such compatible; and, Commonwealth can exert regulatory reciprocity will be accorded. Whereas.The Commission and the control over the materials stated therein. Article VIh, Commonwealth recognize the desirability of reciprocal recognition of ^"lCI' IY The Commission, upon its own limnaes and exemptions from limnsing Notwithstanding this Agreement,the initiative after reasonable notice and of those materials subject to this Commission may from time to time by opportunity for hearing to the Agreement; and, rule, regulation, or order, require that Commonwealth, or upon request of the Whereas.Thl: Agreement is entered the manufacturer, processor, or Governor of the Commonwealth, may into pursuant to the provisions of the producer of any equipment, device, terminate or suspend all or part of this Atomic Energy Act of 1954, as amended; commodity, or other product containing Agreement and reassert the licensing Now, Therefore, it is hereby agreed soura, by product, or special nuclear and regulatory authority vested in it between the Commission and tne material shall not transfer possession or under the Act if the Commission finds l i Governor of the Commonwealth, acting control of such product except pursugnt that (1) such terynination or suspension in behalf of the Commonwealth, as to a license or an exemption from is required to protect public health and follows: licensing issued by the Commission. safety, or (2) the Commonwealth has not 3 Complied with one or more of the Anicle i Article y requirements of Section 274 of the Act. Subject to the exceptions provided in This Agreement shall not affect the The Commission may also, pursuant to Articles H,IV, and V, the Commission authority of the Commission t;nder Section 274)of the Act, temporarily
< < hall discontinue, as of the effective Subsection 161b or 1811 of the Act to suspend all or part of this Agreement if, date Of this Agreement,the regulatory issue rules, regulations, or orders to in the judgment of the Commission, an authority of the Commission in the protect the common defense and emergency situation exists requiring Commonwealth under Chapters 6,7, security, to protect restricted data or to immediate action to protect public i l and 8, and Section 161 of the Act with guard against the loss or diversion of health and safety and the respect to the following materials: special nuclear material. Commonwealth has failed to take (
A. By product materials as defmed in Article VI necessary steps. The Commission shall Section 11e.(1) cf the Act; periodically review this Agreement and B. Source materials; The Commission will use its best actions taken by the Commonwealth C. Special nuclear materials in efforts to cooperate with the under this Agreement to ensure . quantities not sufficient to form a Commonwealth and other Agreement compliance with Section 274 of the Act. 1 critical mass; and, States in the formulation of standards ^#flCl' IA, D. Licensing of Low-Level Radioactive and regulatory programs of the Commonwealth and the Commission for This Agreement shall become Waste Facilities. effective on March 21,1997, and shall protection against hazards of radiation A diCI' U and to assure that Commor.waalth and remain in effect unless and until such This Agreement does not provide for Commission programs for protection time as it is terminated pursuant to discontinuance of any authority and the against hazards of radiation will be Article VHl. d Commission shall retain authority and coordinated and compatible. The Done at Rockville, Maryland, is tnplicate, i responsibility with respect to regulation Commonwealth will ee its best efforts this toth day of March,1997, to cooperate with the Concmission and For the United States Mclear Regulatory of: A. The construction and operation of other Agreement States in the Commission. any production or utilization facility; formulation of standards and regulatory Shirley Ann iackson, B. The export from or import into the programs of the Commonwealth a>d the Chairrr,an. United States of by-product, source, or Commission for protection against Done at Boston. Massachusetts, in special nuclear material, or of any hazards of radiation and to assure that triplicate, this 19th day of March.1997. production or utilization facility; the Commonwealth's program will For the Commonwealth of Musachusetts C. The disposalinto the ocean or sea continue to be compatible with the William F. Weld, of by. product, source, or special nuclear program of the Commission for the Governor. regulation of like materials.Tb waste materials as defmed in Dated at Rockville, MD., this 1st day of regulations or orders of the Commission; Commonwealth and the Comm?April,1997 ission D. The disposal of such other by- will use their best efforts to keep each For the U. S. Nuclear Regulatory product, source, or spc.cial nuclear other informed of proposed changes in commission. material as the Corrr.nission from time to their respective rules and regulations time determines regulation or order and licensing, inspection and John Secretary C.ofHoyle t $e Commission should, becausr. o the hazards or enforcement pohcies and criteria, and to [FR Doc. 97-8829 Filed 4-4-97; 8 45 ami
! potential h6ards thereof, not be so obtain the comments and assistance of 8""* C008 ***
disposed of without a license from the the other party thereon. - Commission; and,
^ ^l'I' #
E. The extraction or concentration of NUCLEAR REGULATORY source material from source matenal ore The Commission and the COMMISSION and the management and disposal of the Commonwealth agree that it is dedable resulting by-product material. to Provide reciprocal recopiltion of Draft Regulatory Guide; issuance, licenses for the materialt listed in Avaltability Article D7 Article I licensed by the other party or This Agreement mey be amended, by any other Agreement State. The Nuclear Regulatory Commission upon application by the Commonwealth Accordingly, the Commission and the has issued for public comment a draft of l State agree to use their best efforts to a guide planned for its Regulatory Guide and approval by the Commission, to Series. This series has been developed include the additional area (s) specified develop appropriate rules, regulations. l l l i
~ _
.%.e 4a ..m_ .a m. m..-_Aam .4m . m.._nsa.w.:a.+2 2..A,_. _m2.u_4___am. ._#wm-.4 .A-..m A 4 A. .
l
, \
i I s t l i s 1 Attachment
; FINAL NRC STAFF ASSESSMENT ,
OF THE MASSACHUSETTS PROGRAM l 1 1 1 l l e. e d i 4 l 1 4 4 o l 1 l i e a 4 l 4 i t 6 i
- e 3
i e I . l r l ASSESSMENT I of the proposed i
- MASSACHUSETTS PROGRAM FOR THE REGULATION OF AGPFFMENT MATERIALS as described in the Commonwealth's Roquest for an Agreement This assessment, prepared by NRC staff, examines the proposed radiation control program of the Commonwealth of Massachusetts with respect to the ability of the program to regulate the possession, use, and disposal of radioactive materials subject to the Atomic Energy Act of 1954, as amended. The assessment was performed against the critoria set forth in the Commission's policy statement " Criteria for Guidance of States and NRC in Qbcontinuance of NRC Raoulatorv Authority and Assumotion Thereof by States Throuch Aareement" (referred to below as the " criteria")' using an internal procedure developed by the Office of State Programs. Each criterion, and the NRC staff's assessment related tt'greto, is addressed separately below.
OBJECTIVES
- 1. Protection. A State regulatory program shall be designed to protect the health and safety of the people against radiation hazards.
The NRC staff determined that the proposed radiation control program will have an organizational subdivision identified as the " Low Level Waste and Agreement State" unit (referred to below as the " agreement materials unit") that will have the responsibility for regulating radioactive materials licensees and an anticipated future low-level radioactive waste disposal facility. The unit will regulate both users of radioactive materials covered by the Atomic Energy Act (known as agreement materials), and users of naturally occurring or accelerator produced radioactive i materials. Other organizational subdivisions of the program will have responsibilities for regulating machine produced radiation (x-ray), licensing medical radiography technologists, etc. NRC staff determined that this is a typical pattern for regulating radiation hazards that is used successfully in other Agreement States. NRC staff concludes that the proposed Massachusetts radiation control program is appropriately designed to provide protection of the health and safety of the public against radiation hazards from the materials and uses over which the Commonwealth proposes to assume regulatory responsibility.
References:
Program Narrative Description and Organizational Charts (Enclosure 3 and Attachment 1 to Enclosure 3 of the Request for an Agreement by Governor Weld.) . l
'NRC statement of Policy published in the Egdga! Monister January 23,19st (46 FR 754o-7646). e correction wee published Juhr 16,19si (46 FR 36969) and a revision of Criterion 9 published in the f3dgs!
Manister July 21,19s3 (48 FR 33376).
.. - - - - . _ - - _ _ _ _ _ - . - . . . . . - . - - . - . . . . - - - - - - - - . - ~ _ .
1 i 1 s l* ,
- 3 1
4 essentially identical to the terms contained in 10 CFR Part 20. The MRCR contain
- all of the provisions on maximum permissible doses, levels of radiation, and
- concentrations of radioactivity that NRC staff believes necessary in order to be
- compatible with the regulations of the NRC on the effective date of the Agreement between the Commonwealth and the Commission.
i ,
Reference:
Massachusetts Regulations for the Control of Radiation at 105 CMR j 120.005,105 CMR 120.203,105 CMR 120.302,105 CMR 120.502,105 CMR
- , 120.772,105 CMR 120.803,105 CMR 120.902.
! 4. Total Occunational Radiation Exnosure. The regulatory authority shau consider the j total occupational redation exposure of indviduals, includng that from sources . which are not regulated by it. i The review determined that under the MRCR, as adopted, licensees are required to I l evaluate the radiation dose received by those individuals who are occupationally ! exposed to radiation in activities under the licensee's control. In conducting the i evaluation, the licensees are required to consider the total radiation doses to the individuals from all sources of radiation (except background radiation and radiation l > from medical treatment or examinations, as is the case in the NRC rules), whether l the sources are in the possession of the licensee or not. The definitions related to 1 occupational exposure are essentially identical to those of the NRC. L
Reference:
Massachusetts Regulations for the Control of Radiation at 105 CMR l 120.211 218,105 CMR 120.221.
- 5. Survevs. Monitoring. Appropriate surveys and personnel monitoring under the close ,
supervision of technically competent people are essentialin achieving redological l protection and shau be made in determining compliance with safety regulations. The review demonstrated that the MRCR impose requirements on the licensees to { conduct surveys to evaluate potential exposures from sources of radiation. Likewise, the MRCR contain requirements for personnel monitoring. All of these l
- requiremnds are based on, and consistent with, the equivalent requirements
' contained in NRC regulations. The MRCR further specify requirements similar to those in NRC regulations for the ] training and experience of workers. The NRC staff believes that the MRCR i requirements are adequate to assure the technical competency of workers l conducting surveys and monitoring. j
Reference:
Massachusetts Regu!ations for the Control of Radiation at 105 CMR ! 120.225. i 6. Labels. Sions. Svmbols. It is desirable to achieve uniformity in labels, algns, and j symbols, and the posting thereof. However, it is essential that there be uniformity 1 in labels, signs, and symbols affixed to radosctive products which are transferred j from person to person. l The review disclosed that the radiation labels, signs and symbols, and posting 4 requirements adopted in the MRCR are essentially identical to those contained in 10 } l i b - . . . - -- -. - .- _- . _
i ) . l l* , 1 5 1 Requirements for transfer of waste for the purpose of ultimate deposal at a land i deposal facility (waste transfer and manifest system) shall be in accordance with ! 10 CFR 20. The waste deposal standards shallinclude a waste clasalfication
- scheme and provisions for waste form, applicable to waste generators, that is l equivalent to that contained in 10 CFR Part 61.
i
- The review confirmed that the MRCR contain provisions relating to the disposal of
- radioactive materials into the air, water and sewer, and by burial in soil which are at
! least as protective as the equivalent rules in 10 CFR Part 20. The MRCR require l licensees to apply for and obtain a specific license condition to dispose of j radioactive waste using methods other than es provided in the rules. \ ! Waste transfer and manifest system requirements applicable to transfers of waste ! intended for ultimate disposal at a land disposal facility were also identified in the ) review and found to be as protective as the NRC rules. The Massachusetts waste i disposal requirements include a waste classification scheme and requirements for waste form that were found to be equivalent to the requirements in 10 CFR Part 61. \
Reference:
Massachusetts Regulations for the Control of Radiation at 105 CMR l 120.251 -120.257. (b) Land Disposal of waste received from other persons. The State shall promulgate regulations containing licensing requirements for land dsposal of radoactive waste received from other persons which are compatible with the applicable technical definitions, performance objectives, technical requirements and applicable supporting sections set forth in 10 CFR Part 81. Adequate financial arrangements (under terms established by regulation) shall be required of each waste dsposal alte Econses to ensure sufficient funds for decontamination, closure and stabilization of a dsposal site. In addtion, Agreement State financial arrangements for long-term monitoring and nmintenance of a specific site must be reviewed and approved by the Commission prior to relieving the alte operator of licensed responsibil:ty (Section 151(a)(2), Pub. L. 97 425). Massachusetts has requested the authority to regulate the disposal of low-level radioactive waste received from other persons at a land disposal site, in support of this requested authority, Massachusetts has promulgated regulations that are equivalent to those in 10 CFR Part 61. The NRC staff review of these regulations determined that they contain all of the specified requirements of compatibility with two caveats. First, it is noted that Massachusetts prohibits, by st0tute, shallow land burial as a l disposal method. Secondly, an agency of the Commonwealth, the Low Level i Radioactive Waste Management Board (Board), is designated by statute to be the owner of the site. The Board will select an operator for the site who will be the site l licensee during operations. At the end of the site operation, the operator will t ansfer the license to the Board to start the institutional control period. Thus the Board will act as the custodial agency as defined in 10 CFR Part 61. The Board will, by statute, remain the site owner and licensee indefinitely.
i 4 . j 7 4 whose Jurisdction over interstate shipment of such materials necessarily continues. 1 i State regulations regardng transportation of radosctive matedals must be i compatible with 10 CFR Part 71.
- The NRC staff's review of the MRCR determined that the sections applicable to the
! preparation of radioactive material *; foi shipment are similar to the NRC regulations l in 10 CFR Part 71 that were effective prior to April 1,1996. On that date, l amended regulations in Part 71 became effective. Since negotiations pursuant to e Section 274b of the Act were already in progress, Massachusetts chose to continue with the request for an Agreement while developing amended State regulations in parallel. NRC staff does not expect the amended . Massachusetts j rules to become effective before the Agreement is signed. The Massachusetts radiation control program has committed to enforcing the provisions of the amended Part 71 rules by issuing appropriate regulatory orders to the affected licensees, and to continue the process of adopting amendments to the 1
- Massachusetts rules. The orders are inteMad to spara NRC licensees transferred to
! Massachusetts from the " whipsaw" srfect of t,aing regulated first under the j amended NRC regulations, then th9 old rsgulations when the Agreement takes effect, then again under the amer ded regulations when later adopted by , j Massachusetts. Previreely, NRC has required a State proposing to enter into'an ! l agreement to have regulations equivalent to current NRC regulations in effect at the ,
- time the agreemem is signed. However, the Commission's legal counsel has
- indicated that Agreement States have the flexibility to use altemate legally binding
- methods of imposing NRC regulatory requirements on their licensees. On this
; basis, NRC staff find that the Massachusetts plan is acceptable.
l i Since the amended NRC regulations are coordinated with the regulations of the U. l S. Department of Transportation (DOT), the amended Masr.achusetts regulations ) will also be compatible with the DOT regulations. The NRC staff concludes, j therefore, that the Massachusetts radiation control program will satisfy the elements of this criterion, e
References:
Massachusetts Regulations for the Control of Radiation at 105 CMR
- i. 120.770 - 120.795: Letter with attachments from Massachusetts Department of Public Health Commissioner Mulligan dated August 14,1996
- 11. Records and Renor"43. The State regulatory program shall require that holders and users of radoactivs metodals (a) maintain records covedng personnel redation
- exposures, redation surveys, and dsposals of matedals;(b) keep records of the i receipt and transfe? of the matedals;(c) report significant incidents involving the j matodels, as prescribed by the regulatory authority; (d) make available upon request of a former employee e report of the employee's exposure to redation
- (e) at J request of an employee advise the employee of his or her annual radation exposure:
J and (f) Inform each employee in writing when the employos has received redation
} exposure in excess of the prescribed limits.
c The review confirmed that the MRCR require licensees to maintain the specified records and to make reports similar to those specified in NRC regulations. The requirements are generally consistent with the equivalent NRC requirements. The NRC staff noted that for some NRC rules that specify a records retention period of
g The review concluded that the MRCR contain regulations similar to the current NRC regulations specifying the required content of applications for licenses, renewals, and amendments. The MRCR also contain requirements similar to the NRC requirements for issuing licenses and specifying the terms and conditions of licenses. In some cases, the Massachusetts requirements may be more stringent than the equivalent NRC requirements to reflect concems unique to the Commonwealth. The agrooment materials unit has adopted procedures for processing applications that assure the regulatory requirements will be met or exceptions granted as provided for by regulation. The MRCR also provide for generallicenses compatible with those provided by the NRC regulations. The MRCR allow the possession and use of agreement materials exempt from license under the same conditions as allowed by NRC. The MRCR note that a license authorizing the distribution of agreement materials that will subsequently be exempt from regulatory control may be issued only by the NRC. The agreement materials unit will regulate several licensees to whom NRC has issued licenses of broad scope. Staff has determined that the MRCR contains provisions equivalent to the rules in 10 CFR Part 33 for the regulation of broad scope licenses. Since criterion nine was adopted, the Commission in SECY-g5-136 determined that the regulatory authority to conduct safety evaluations of sealed sourcos and devices should L roteined by the NRC, unless the State requests assumption of the authority and the State has in place an adequate and compatible program to implement the authority. Massachusetts has requested the authority to conduct safety evaluations of sealed sources and devices. NRC staff have evaluated the regulations and procedures related to that program element, and determined that they are adequate and compatible, in the proposed Agreement, the authority to conduct safety evaluations of sealed sources and devices is transferred as part of the overall authority to issue licenses. The NRC staff finds that the Massachusetts regulations and procedures for licensing are adequate, and compatible w.th those of the NRC.
Reference:
Massachusetts Regulations for the Control of Radiation at 105 CMR 120.133-120.135.
- 14. Evaluation Cnteria, in evaluating a proposal to use radioactive materials, the regulatory authority shaN determine the adequacy of the applicant's facilities and safety equipment, his training and experience in the use of the materials for the purpose requested, and his proposed administrative controls. States shondd develop guidance documents for use by license applicants. This guidance should be consistent with NRC Econsing and regulatory guides for various categories of Econsed activities.
The NRC staff found that the Massachusetts agreement materials unit licensing procedures manual contains instructions to the unit staff addressing the specific elements listed in the criterion. The licensing procedures manual and the accompanying Massachusetts regulatory guides are similar to NRC licensing procedures and regulatory guides. i l l
l l-11 ! The review found that Massachusetts has adopted policies, procedures, and form l letters to convey the results of inspections to the licensees, both when violations are found, and when no violations are found. j i
Reference:
Radioactive Materials inspection Manual, Attachment 7 to Enclosure 3 l of the Request for an Agreement by Governor Weld. ENFORCEMENT 1 g. Enforcement. Possession and use of radosctive materials should be amenable to
- enforcement through legal sanctions, and the regulatory authodty shaN be equipped
! or assisted by law with the necessary powers for prompt enforcement. This may i include, as appropriate, administrative remedes looking toward issuance of orders l requidng affirmative action or suspension or revocation of the right to possess and i use materials, and the impoundng of materials; the obtaining of ir(unctive relief: i l and the imposing of civil or cdminal penalties. ! The review found that the radiation control program is authorized by statute to l enforce the regulations using a variety of sanctions, including the imposition of civil
- penalties and the issuing of orders to suspend, modify or revoke licenses. Although j the impounding of materials is not directly provided, Massachusetts General Law
, Chapter 111, Section 50 allows the program to seek restraining orders, which may j bar the use of materials or the access to promises. The program has adopted i procedures to implement this authority. 1 i j
References:
Massachusetts General Law Chapter 111, Section 50; Massachusetts J Regulations for the Control of Radiation at 105 CMR 120.016 - 120.01g. PERSONNEL I
- 20. Qualifications of Reaulatory and insoection Personnel. The regulatory agency shaN
- be staffed with sufficient trained personnel. Prior evaluation of applications for fcenses or authodzations and inspection of licensees must be conducted by persons
- passassing the training and experience relevant to the type and level of radoactivity M the proposed use to be evaluated and inspected. This requires competency to ;
evaluate various potential redological hazards associated with the many uses of l redoactive matedal and includes concentrations of radoactive matedals in air and water, condtions of shieldng, the making of redation measurements, knowledge of redation instruments-their selection, use and calibration-4aboratory design, contamination control, other general principles and practices of redation protection, and use of management controls in assudng adherence to safety procedures. In order to evaluate some complex cases, the State regulatory staff may need to be supplemented by consultants or other State agencies with expertise in geology, i hydrology, water quaNty, redobiology and engineering deciplines. To perform the functions involved in evaluation and inspection, it is desirable that there be personnel educated and trained in the physical and/or Nfe sciences, includnt biology, chemistry, physics and enginsedng, and that the personnel have had training and experience in radiation protection. For example, the person who wlN be responsible for the actual performance of evaluation and inspection of all of the various uses of byproduct, source and special nuclear material which might
- - -._ - - - --... -. .- _- . . . - - - - - ~ _ - - - - - - . - . - . . . - -
4 1 J {* . 13 i '1 materials licenses will seek to combine them. This experience suggests a final { number of 450 to 500 licenses.
- Tu organizational chart shows 31 professional staff positions, of which 13 would j be assigned to the agreement materials program unit. Currently, there are 7 '
l inoividuals assigned to the unit full time, and 5 assigned part time, with 1 vacancy. 1 One of the part time staff members is the program director, who will also act as the , j unit manager. The combined effort of the 5 part-time individuals sums to 2 full- ' time-equivalents (FTE). The NRC staff sum; the total technical / professional effort of l the 12 individuals to equal g FTEs. l Although there is no current quantitative guideline in this area, NRC has, in the i past, used a guideline indicator of 1.0 to 1.5 FTE per 100 licenses in reviewing ! existing Agreement State programs. Using the estimates of 9 i technical / professional FTEs in the agreement materials unit, and 600 licenses initially, there would be approximately 1.5 technical / professional FTE per 100 j licenses. While this number is at the high end of the range, NRC staff notes that j the Commonwealth will assume regulatory responsibility for several licensees with
- unusually complex operations, including large medical, university, and industrial manufacturing programs. NRC staff believes, therefore, that an initial staffing level
- at or above the high and of the range is appropriate.
t NRC staff further notes that several of the agreement materials unit positions will, l in the future, be dedicated to the licensing and regulation of an anticipated low level radioactive waste disposal site. The program does not, however, expect to receive ] an application for a waste disposal site in the near future. The anticipated j combination of NARM and agreement materials licenses by facilities that currently l hold both types will reduce the total number of licenses as described above and increase the staff to-materials-license ratio. This will have the effect of allowing ', staff members to be reassigned to waste site issues. Further, when an application i is received, the program plans to supplement staff with contractors. For current activities related to waste management, the Massachusetts program director has j stated that less than one professional FTE is required. 4 ! Based on the above, the NRC staff concludes that the Massachusetts program i staffing plan provides an adequate number of personnel to meet the anticipated ' program needs. I Assessment of Staff Education, Training and Experience 2. i The 12 individual members of the agreement materials unit's professional / technical i staff are trained in physics or health physics (5), life sciences including radiologic t technology, biophysics, and public health (6), and physical sciences (geophysics - 1). i i Of the seven full time agreement materials unit staff members, one has 15 years j experience in the Massachusetts program. The other six full time staff members a have 4 years or less experience in the Massachusetts program, although one i individual has 3 years experience working in another radiation control program. Each of the six, however, has 5 years or more working experience in the fields of I i health physics, reactor health physics, or medical physics. The duties of these i
4 i 0 . 15 f. l The review found that the Massachusetts regulations do contain a provision to i avoid interference with the duties imposed on S'. ate licensees by the NRC. I j
Reference:
Massachusetts Regulations for the Control of Radiation at 105 CMR j 120.002. l 22. Snecial Nuclear Material Defined. Special nuclear matedal,in quantities not i l aufficient to form a cdtical mass, for present purposes means uranium endched in ! the isotope U-235 in quantities not exceedng 350 grams of contained U-235; ! uranium 233 in quantities not encoedng 200 grams; plutonium in quantities not i encoedng 200 grams; or any combination of them in accordance with the following formda: For each idnd of special nuclear material, determine the ratio between the quantity of that special nuclear matedal and the quantity specified above for the same kind of special nuclear matedal. The sum of such ratios for all of the kinds of special nuclear material in combination should not exceed "1" (i.e., unity). For i- example, the following quantities in combination would not exceed the Emitation i and are within the formula, as follows: I 175 (grams contained U 235)/350 + 50 (grams U 233)/200
+ 50 (grams Pu)/200 = 1 I
j (This definition is subject to change by future Commission rule or regdation.) l l , The review of Massachusetts regulations equivalent to 10 CFR Part 150 revealed that the definition of the term "special nuclear material in quantities not sufficient to ; form a critical mass" therein is essentially identical to the above definition. l
Reference:
Massachusetts Regulations for the Control of Radiation at 105 CMR j 120.005, Definition of Special Nuclear Materialin Quantities Not Sufficient to Form j a Critical Mass. l ADMINISTRATION i i 23. Fair and Imnartial Administration. State practices for assudng the fair and impartial i administration of regulatory law,includng provision for public participation where i appropdate, should be incorporated in procedures for: I ) a. Formulation of rules of general applicability; ! b. Approving or denying applications for licenses or authodration to possess ! and use radoactive matedals, and I c. Taking dsciplinary actions against Econsees. The Massachusetts radiation control program is bound by statutory provisions with { respect to providing the opportunity for public participation in rulemaking, licensing i actions, and disciplinary actions. The program has adopted regulations to implement the enforcement authority granted by law. The legislation also provides f for the administrative and judicial review of actions taken by the program. .A i j i I l i
I j 17 } of such license or on the date of expiration specified in the NRC license, whichever e is earlier. i l The Massachusetts regulations also provide for " timely renewal," the continuance l of licenses for which an application for renewal has been filed more than 30 days prior to the date of expiration of the license. Licenses in timely renewal are not j excluded from the transfer continuation provision. l
Reference:
Massachusetts Regulations for the Control of Radiation at 105 CMR
- 120.133,120.136.
I 26. Relations With Federal Government and Other States. There should be an ! interchange of Federal and State inf9rmation and assistance in connection with the i lasuance of regulations and liconaew or authodzations, inspection of licensees,
- reporting of incidents and violations, and training and education problems.
The NRC staff found that the proposed agreement commits the Commonwealth to use its best efforts to cooperate with the NRC and the other Agreement States in the formulation of standards and regulatory programs for the protection against hazards of radiation and to assure that the Commonwealth's program will continue to be compatible with the Commission's program for the regulation of like materials.
Reference:
Proposed Agreement between the Commonwealth of Massachusetts and the Nuclear Regulatory Commission, Article VI.
- 27. Coveraae. Amendments. Recioracitv. An Agreement providng for dacontinuance of NRC regulatory authority and the assumption of regulatory authority by the State may relate to any one or more of the following categodes of materials within the State, as contemplated by Public Law 88-373 and Public Law 95-604: i
- a. Byproduct materials as defined in Sec' ion 11e(1) of the Act,
- b. Byproduct metodals as defined in Section 11e(2) of the Act,
- c. Source metodels,
- d. Special nuclear matedals in que"stities not sufficient to form a cdtical mass,
- e. Low level wastes in permanent dsposal facilities, as defined by statute or Commission rules or regulations containing one or more of the matedals stated in a, c, and d above but not including byproduct material as defined in l Section 11e(2) of the Act; but must relate to the whole of such category or ;
categodes and not to a part of any category. If less than the five categories are included in any dscontinuance of jurisdiction, decontinuance of NRC regulatory authodty and the assumption of regulatory authodty by the State of the others may be accomplished subsequently by an amendment or by a later agreement.
_-. . - _ _ _ _ . _ . _ . , . _ . - - - - . . - - ~ _ - ---.- -. .. - . - I 1 i. 4 . 19 ;
Reference:
Massachusetts Regulations for the Control of Radiation at 105 CMR i 1006(B). STAFF CONCLUSION l ! Section 274d of the Atomic Energy Act of 1954, as amended, states: "The ! Commission shall enter into an agreement under subsection b of this section with j any State if: ! (1) The Governor of that State certifies that the State has a program for the i control of radiation hazards adequate to protect the public health and safety I with retract to the materials within the State covered by the proposed agreement, and that the State uesires to assume regulatory responsibility for i such materials; and I
- (2) The Commistjon finds that the State program is in accordance with the
! requirements of subsection o. and in all other respects compatible with the Commission's program for the regulation of such materials, and that the ! State program is adequate to protect the public health and safety with respect to the materials covered by the proposed amendment." ! ! The staff has concluded that the Commonwealth of Massachusetts meets the requirements of Section 274 of the Act. The statutes, regulations, personnel,
- licensing, inspection and administrative procedures are compatible with those of the
- Commission and adequate to protect the public health and safety with respect to j the materials covered by the proposed Agreement. Since the Commonwealth of Massachusetts is not seeking authority over uranium milling activities, subsection o.
l is not applicable to the proposed Massachusetts agreement. 4 l 1 l 4 4 i l l l i 4 l 1 l G:\RLB\MA21 ATT2.RL1 l 1 l l 1
Federal Register / Vcl. 62, No. 6 / Thursd;y, January 9,1997 / Notic s 1343 Per respunse); recordleeping,150 hours For the Nuclear Regulatory fMmhalon. Governor Wild including n(Irenced (1.2 hours per respondent). Gerald F.Crandard, enclosures, applicable legislation,
- 7. Abstruct:10 CFR 110 provides Desigmted Sernor @MforInformation regulations for the mutml of radiation, application, reporting, and Resourn,s Mamgement. and b full text of b NRC staff 2
remrdkeeping requirements for exports (FR Doc. e7-472 FLlod 1- o-97; 8:45 aml assessment are also available for public
! and imports of nuclear material and salese cots ms. ewe inspection in the NRC's Public D cument Room.
! ocjulpment subject to the requirements FOR FuPTER INFORMATION COff7ACT:
of a specific license or a general license Commonweetth of Messachuents:
# Richard L. Blanton, Ofhce of State and exports of incidental radioactive Staff Assessmentof Proposed Progruas, U.S. Nuclear Regulatory material. De information collected and Commissim, Washington, DC 20559 I1 maintained t to 10 CFR 110 Reguistory Commisalon and the 0001. Telephone (301) 415-2322 or e.
enables subh W7 Commonweedth of Massachusetts mail RLBONRC. GOV
- izr. ports and exports which are not A0DeCY: Nuclear Regulatory SUPPLNWTARY DGORaW10N:The inimical to U.S. common defense and Commission has received a request from security and which meet applicable Commiuta.
ACTION: Notice of proposed Agreement Govemor William Weld of statutory, regulatory, and policy Massachusetts to enter into an j requirements, with the Commonwealth of Ma n a.nrhusetts' Agreement whereby the NRC would Submit,by March 10,1997, nnmments discontinue, and the Commonwealth that address the following questions: suenaARY:The U. S. Nuclear Regulatory would assume, certain regulatory 1,la the proposed collection of Commission (NRC) has rumived, from authority as specified in the Act. l the Govemm of the Comznewealth of Sectin 274 of the Act authorizes the information nemasary for the NRC to properly perform its functions? Does b Massachusetts, a proposal to enter into Commwion to enter into such an an Agmement pursuant to Section 274 agreement. information have practical utility? Section 274e of the Act requires that of the Atomic Energy Act of 1954, as
- 2. Is the burden estimate accuratet amended (Act). The proposed the terms of the proposed Agreement be l 3. Is there a way to enhance the Agreement would permit Massachusetts Published for public comment once j quality, utility, and clarity of the to assume certain portions of the each week for four consecutive weeks.
1 information to be collected? Commission's regulatory authority. As his notice is being published in the Federal Register in fu.fiilment of the I 4. How can the burden of the mquired by the Act NRC is publishing the proposed Agreement for public requirement.
] information collection be minimi=d, comment. NRC is also publishing a L Backgmund l including b use of automated co13ection tg uos summary of the NRC staff assessment of q or other forms of (a) Secti n 274d of the Act provides the pmposed Masachusetts radiadon
; information technology? ntrol pmgram. Comments am the mechanism whereby a State may A mpy of the draft supporting assume regulatory authority, otherwise requested on the proposed Agreement, reserved to the NRC, over artain statement may be viewed free of charge mpecially public health and safety at the NRC Public Document Room, aspects. and the === ament. radioactive materials 5 and uses thereof.
2120 L Street NW, (lower level). The Agreement will effectively release in a letter dated March 28,1996, Wahington, DC. Members of the public (exempt) persons in Massachusetts from Governor Weld certified that the who are in the Washington, DC area can mitals portions of b rwmmwlon's Commonwealth of Massachusetts has a acass this document via modem on the avgulateri euthority, The Act also regram fm the cutml of radiation requires that NC publish those that is adequate to protect Public Document Room Bulletin Board (NRC's Advanced Copy Document exemptions. Notice is nereby given that health and safety of the public within the pertinent exemptions have been the Commonwealth with respect to the Library). NRC subsystem at FedWorld, previously published in the Federal materials covered by the proposed 703-321-3339. Members of the public Agreement, and that the Commonwealth who are loated outside of the Register and are codified in the Commission's regulations as to CFR desires to assume regulatory Wuhington, DC ama can dial sibility for these materials. FedWorld,1-800-303-9672, or use the Part 150. uded with the letter was the text of Fedworld Internet address: DATra:The mmment period expires the proposed Agreement, which is fedworld. gov (Telnet). The document January 23,1997. Comments remived after this date shown in A dix A to this notice. will be available on the bulletin board The speci e autawides requested by for 30 days after the signature date of will be considemd if it is practical to do this notice. lf assistance is needed in so, but the Commission is able to assure the Commonwealth of Massachusetts under this Pro A m t accessing the document, please mntact mnsfderation on] for comments g, d the FedWorld help desk at 70h487- received on or be ore this date. ADDRESSES:Writtan comments may be defin in Section 11e.(1) of the Act. (2) 4608. the regulation of source materials,(3) Comments and questions may be submitted to Mr. David L. Meyer, Chief, the regulation of special nuclear Rules Review and Directives Branch
- directed to the NRC Clearance OfBar, n
" d materials in buantities not sufficieot t Brenda Jo. Shelton, U.S. Nuclear form a critic mass. (4) the evaluation Pu ado as O Regulatory Commission. T-6 F33, 3,,minfstration Washington,DC 20555-
- m matetals, samtims refermd to as Washington, DC 20555-0001' or by 0001, Copies of comments received by *esmament matartals." art (a) Byproduct materiets te p one at 301-41 233, orgy NRC may be eramined at the NRC se denn d in section sie.it) of the Act (b)
Internet electronic mail at Public Document Room 2120 L Street, Brproduct materials as denned in Secuon 11ad2) of BJS10NRC. GOV. NW. (Lower level), Washington, DC. 'h' ^'t I'l 3*""" mat nals a denned in s.cuan 11L of the Act: and (d) Special nuclear materials Dated at Rockville. Maryland, this emmnd Copies of the proposed Agmement. as denned in secuan 1 tea. of the Act, restricted to dey of January,1997. along with copies of the request by quanuun not suscism in fona e criucal man l l l i
1844 Federal Regreter / Vol. 62. No. 6 / Thursday, Jmuary 9,1997 / Notices of the safety cf sealed sources and devices (metaining materials covered %e Maamehusetts regulati:ns cantain provisions for the orderly and orders. Limnsees are requimd by
; by the Agreement) for distribution in law to provide ameos to inspectors.
transfer of authority over NRC lir*naas interstate commera, and (5) the land he Department has adopted
- i to the regulatory control of the disposal oflow level radioacttve wasta Commonwealth. After the effective date regulations (Massachusetts Regulatio 3 (as defined in the low Level for the Control of Radiation or MRCR)
Radioactive Waste Policy Amendments of this proposed Agreement, licenses Providing radiation protection standards a issued by NRC wiu continue in e5ect essentially identical to the standards in Act of 1985,42 U.S.C. 2021b) received under Massachusetts regulatory from other persons. The Commonwealth authority until these limnaesthe toexpire CFR Part 20. Technical definitions in i MRCRor 3 does not wish to suume authority over am also essentially identical.
- are replaced by Commonwealth issued The MRCR require consideration of the
. p the regulation of byproduct materials as licenses. ,
! defined in Section 11e.(2) of b Act. total radiadon doses to individuals from i (d) The NRC staff assessment finds the all sources of radiation (except '
l that sourceismaterials over taili s from the recovery of proposed Massachusetts progrum ore, but does background radiation and radiation
! .' reserve the right to apply at a future date adequate to protect public health and from medicaltreatment or 1 for an amended agreement to assume safety, and compatible with the NRC examinations, as is the case in the NRC
.i
' authority in this area. program for materials regulation. rules), whether the omroes are in the (b) ne reposed agreement contains Smumary of e NEC M gssession of the licensee or not. The I
nine artic es that (1) list the materials -ent of the M-=Anastis .CR also requin appropriate surveys and pmonnel monitoring under the and activities to be covered by the Program for the Control of Agreenwat j Materials close supervision of technically 4 ment:(2) specify the activity for competent people, and the use of ch the Commission will retain NRC stab has examined the proposed radiation labels, signs and symbols regulatory authority; (3) allow for future Mammachusetts radiation control essentially identical to those contained i amendment of the Agreement:(4) allow program with respect to the ability of in to CFR Part 20. Posting requirements for artain regulatory changes by the Commission; (5) reference the continued the program to regulate agreement instruction of workers requirements and ( authority of the Commission for materials. The eramination was based adopted in the MRCR am compatible I on the Commission's policy statement wie &e equivalent current purposes of safeguarding nuclear en th l materials the and restricted Commonwealth and NRC todata:
"Criteriafor Guidance ofStates and (6) commit NRCin Discoritmuance ofNRC } 8 C
i RegulatoryAuthori and Assumption or regulations seeks to regulate areas not
' exchange information neceuary to maintain coordinated and compatible ThereofbyStates T rough Agreement *' $rmitted by the Atomic Energy Act.
(referred to herein as the " criteria") (46 e MRCR contain a provision to avoid grograms; (7) recognize reciprocity of FR 7540; January 23,1981, as amended). " ""C' ' oennes issued by the respective (a) Orgardzation and Personnel.The m ts impos b agencies;(s) identify criteria for the ant proposed program unit responsible for to the Act, and for which suspension or terminat2en of the agulatmg agreement materials will Commonwealth licensees have not been
, Agreement; and (9) specify the proposed mnsf at of 13 technical / professional examhted under the agreement.
effective date. ne Commission reserves poaltions within the existing radiation (c) torage and Di sal. The MRCR the option to modify the ternas of the also contain compati e requirements control program of the Maneachusetts proposed Agreement in response to Department of Public Health. The for the storage of radioactive material. < comments, to correct errors, and to qualifications for staff members and for the disposal of radioactive I make editorial changes in style. Also, material as waste. The waste disposal specified in the personnel position because of several issues posed by this descriptions, and the qualifications cf requirements cover both waste disposal l request which required resolution i the current staHmembers, meet the by material users and the land disposal before the Agreement could be of waste received from other persons. criteria for education, training and concluded, the effective date requested experience. All current staff members The NRC staff noted some differences in by the Governor could not be malized. the MRCR waste regulations as hold at least bachelor's degrees in The final text of the Agreement, with physical orlife scienms, or have a compend to the NRC regulations in 10 the actual effective date will be CFR Part 61, but determined that the ~ published aAer the Agreement is combination of education and experience at least equivalent to a differences are related either to the
, approved by the Commisalon. prohibition 'of shallow land burial as a
- bachelor's degree. Most staff members I (c) The Massachusetts radiation hold adranced degrees,and have had disposal technology or to the ownership control program curantly regulates additional tr=Inf nF and experience in of the disposal site by the Massachusetts users of naturally-omurring and radiation protection. Senior staff have Low. level Radioactive Waste accelerator produced radioactive more than five years experienm sach in Management Board. Because of these materials, and users of certain radiation. radiation control programs. The special provisions, NRC staff producing electronic machines. The determined that the differences in the program was enabled by Massachusetts . program director has a master's regulations degree do not reduce the ability of law (Massachusetts General Law in public health and 15 years experience the Massachusetts radiation control in regulatory health physics.
[M.G.L) Chapter til, $5B)in 1958. This (b) Legislation and regulations. The program to protect health and safety, statute was later replaced by M.G.L Massschusetts Department of Public nor redum the compatibility of the u Chapter t il, Sections SM through SP. In Health is designated by statute to be the program or the regulations themselves. 1967, M.G.L Chapter l '1H was added (d) Transportation ofRadioactive radiation control agency.The to provide for the agul tion oflow-level Department is pavided by statute with equivalent Material.The MRCR contains rules
# radioactive waste. Section 7 of the to 10 CFR Part 71 as in effect legislation contains the authority forissuelicenses the the authority to promulgate Issue orders, conduct regulations, prior to April 1,1996. Effective on Governor to enter into an Agreement date, the NRC amended Part 71. Under wi,h the Cnmmission. inspections, and to enforce compliana current policy, an existing Agreement witn regulations, license conditions, State is allowed up to thne years after 1
Federal Register / Vd. 62, No. 6 / Thundly, January 9,1997 / Notices 1345 NRC adopts a final rule to adopt a humana that are similar to the NRC Management Act. The Department of mmpatible rule, or to impose each ments in to CFR Part 35. Public Health willlicense and regulate regulatory provision of the rule using an e Massachusetts limnsing the site only after the Executive alternate legally binding requirement promdures manual, along with the Secretary for Environmental Affairs has (LBR), such as an order or license acx:ompanying regulatory guides, are determined that the report on the site candition. A State seeking an agreement adapted from similar NRC documents characterization study is in is expected to have effective rules or and contain adequate guidance for the conformance with the suitability LBRs compatible with those of NRC in agreement materials program unit staff standards, and the Low level effect at the time the agreement becomes to use when evaluating license Radioacuve Waste Management Board e5ective. He intent of this expectation applications. has selected the operator. is to spare limnsees in the new lgj Inspections and Enforcement. The The proposed Agreement commits the ment State from the " whipsaw" Massachusetts radiation control Commonwealth to use its best efforts to of being subjected first to the new Program has adopted a schedule cooperate with the NRC and the other NRC requimments,then the old Providing for the inspection of licensees Agreement States in the formulation of requirements when the agreement taxes as frequently as, or more frequently standards and regulatory programs for effect, then again to the new than, the inspection schedule used by the protection agair,st hazards of requirements when later adopted by the NRC. The agreement materials program radiation and to assure that the State. Massachusetts is in the rocess of unit has adopted procedures for the enmmonwealth's program will continue adopting rules mmpatible wit the conduct ofins ans, the reporting of to be compatible with the Commission's revised to CFR Part 71. However, these inspection fin . gs, and the report of program for the regulation of like rules may not become effective before inspection results to the licensees. The materials. The proposed Agreement the A ment is si pr gram has also adopted procedures stipulates the desirability of reciprocal inten o impose tbed. Massachusetts requirements of for enforcement in th9MRCR. recognition of licenses, and commits the the new Part 71 rules in the interim by N Regulatory Adannistmdon.The Commission and the Commonwealth to Massachusetts Department of Public use their best efforts to acx:ord such issuing aNected kcenseesPropriate orders to the Health is bound by procedures speciSed reciprocity. (e) Reconikeeping andincident h",y , I"
,gopg,g E StaWConclusin Reporting. The MRCR incident reporting procedures to assure fair and impartial Subsection 274d of the Act provides requirements are similar to the nl that the enmmhaion shall enter into an requirements in the NRC rules. The NRC (i) treatment of hmnse Cooperadon a/> Agencies.
d odier P icants. agreement under subsection 274b with staff noted that for some NRC rules that The MRCR deems the holder of an NRC specify a records retention period ofless license on the eHective date of the than Sve years, the retention period an[a) TheState if: of the State certifies Governor Agreement to possess a like limnse that the State has a program for the specified in the MRCR is shorter.he issued by Massachusetts. The MRCR onntrol of radiation hazards adequate to NRC staff concluded, however, that the provides that these former NRC licenses protect public health and safety with stention periods speciSed in the MRCR will expin either 90 days after remipt respect to the materials within the State rules are adequate sina the retention from the rediation cxmtrol program of a covered by the proposed Agreement, Periods are long enough to permit notice of expiration of such license or and that the State desires to assume namination of the records during on the date of expiration speciBed in the regulatory responsibihty for such routine inspections. The MRCR imposes NRC license, whichever is earlier. The materials; and retention requirements similar to the MRCR also nrovides for " timely (b) The Commission finds that the NRC rules for records which must be renewal." This provision affords the State program is in acrordance with the retained indefinitely or until the limnse continuanm oflimnses for which an requirements of Sub ,cetion 274o, and in is terminated. application for renewal has been Bled all other respects compatible with the (f) Evaluation of License Applications. more than 30 days prior to the date of Commission's program for the no MRCR contains requirements expiration of the license. Licenses in regulation of such materials, and that equivalent to the current NRC timely renewal are not excluded from the State program is adequate to protect mgulations specifying the required tha transfer continuation provision. The public health and safety with respect to content of applications for limnses, MRCR provida exemptions from the the materials covend by the proposed renewals, and amendments. The MRCR Commonwealth's requirements for Agreement. also provide requirements equivalent to licensing of sources of radiation for NRC On the basis ofits assessment, the the NRC requimments for issuing and U.S. Department of Energy NRC staH has concluded that the limnaes and specifying the terms and. contractors or subcontractors. Commonwealth of Massachusetts meets conditions of licenses. Re agreement The Department of Public Health and the reguirements of Section 274 of the materials program unit has adopted a the Department of labor and Industries Act. The Commonwealth's statutes, promdure for pmasaing applications have antared into a Memorandum of regulations, personnel, licensing. that assures the regulatory requirements Understanding, as authorized elsewbem inspection, and administrative will be met, or,if appropriate, in Massachusetts law, which provides procedures are compatible with those of exmptions granted. The program unit for the Department of Public Health to the Commission and adequate to protect has the authority by Statute to impose exensse the responsibility and authority public health and safety with respect to mquirements in additic,n to the of the Department oflabor and the materials covered by the proposed requirements specified in the Industries with respect to radiation and Agreement. Since the Commonwealth is regulations. The program unit also radioactive materials. no Department not seeking authority over byproduct retains by regulation the authority to of Environmental Pmtection is material as defined in Section 11e.(2) of grant specific exemptions from the designated as the agency to adopt the the Act. Subsection 274o is not requirements of the regulations. The suitability standards for any proposed applicable to the proposed Agreement. MRCR speciBes qualiScations for the disposal site under the Massachusetts The language of the Agreement use of radioactive materials in or on Low-level Radioactive Waste requested by Governor Weld has been
J 2346 Federal Register / Vol. 62 No. 6 / Thursday, January 9,1997 / Notices e revised to reflect that the effective date and safety with respect to the materials special nuclear material, or of any of the proposed Agreement and the within the Commonwealth mvered by production or utilization facility; location at which it will be aigned this Agreement,and that the C. The disposalinto the oman or sea r= main to be determined. Certain Commonwealth desires to assume of by product, soura, or special nuclear conventions have been used to highlight regulatory responsibility for such waste materials as defined in the proposed mvisions. New Itaguage is materials; and, regulations or orders of the Commission; < shown inside boldfaced armws, while Whereas, The Commiulon found on D. The disposal of such other by. , language that would be deleted is set off INovember 1,1995,] $(date to be product, source, or special nuclear witn brackets. determined)4 that the program of the material as the Commission from time to IV. Small Business Regulato 7 Commonwealth for the regulation of the time determines b regulation or order materials covered by this Agreement is should, because o the hazards or Eniwent Fairm M mmpatible with the Commiulon's potential hazards thereof, not be so in accordance with the Smau program for the ation of such disposed of without a license from the Business Regulatory Enforament materials and is a unte to protect Commiuion; and, Fairness Act of1996, the NRC has public health and
~
ety; and. E. The extraction or conantration of determined that this action is not a Whereas, The Commonwealth and the sourm material from source material ore ma)or rule and has verified this Commission recognize the desirability and the management and disposal of the determination with the OfDce of and importance of cooperation (s) resulting by product materin. Information and Regulatory Affairs of between the Commission and the the Office of Management and Budget Article ID Commonwealth in the formulation of (OMB). , standards for protection against hazards This Agreement may be amended, Deted at Rockville, Maryland. this 19th day of radiation and in assuring that upon application by the Commonwealth of December, tees. Commonwealth and Commission and approval by theenmmission, to For the U. S. Nuclear Regulatory Programs for protection against hazards include the additional area (s) specined rw=mu sion. of radiation will be coordinated and in Article D, graph E, whereby the Paul H. Lahaus, mmpatible; and, Commonw th can exert regulatory Actug Dusciar, offxe ofstate % Whereas.The Commi== ion and the control over the materials stated therein. Commonwealth recognize the Article IV Appendix A Proposed Agreement desirability of reciprocal recognition of Agreement Between the United Statee licenses and exemptions from licensing Notwithstanding this Agreement.the Nar. lear Regulatory r==ml== ion and of those materials subject to this Commiulon may from time to time by the en-monwealth of Massachusetts Agreement; and, mle, agulation, w order, mquire that for the Discontinuance of Canain Whereas, This Agreement is entered the manufactum, processor, or Co==lanion Regulatory Authority and into pursuant to the provisions of the Pmducer of any equipment, device, Responsibility Within the Atomic Energy Act of 1954, as amended; commodity, or other product containing Commonweazth Pursuant to Section 274 Now, therefore, it is hereby agreed source, by product, or special nuclear of the Atomic Energy Act of1954, as between the Commission and the material shall not transfer possession or Asnended Governor of the Commonwealth, acting control of such ; oduct except pursuant Wheress, The United States Nuclear in behalf of the Commonwealth, as to a bcense or an exe.aption from follows. licensing issued by the Commission. Regulatory Commission (hereinafter referred to as the Commiazion) is Article I Article V cuthorized under Section 274 of the Subject to the exceptions provided in This Agreement shall not affect the Atomic Energy Act of 1954, as amended Articles D IV, and V, the Commission authority of the Commission under (hereinafter refened to as the Act), to shall discontinue, as of the effective Subsection 161b or 1611 of the Act to enter into agreements with the Governor date of this Agreement,the regulatory issue rules, segulations, or orders to of any State providing for authority of the Commission in the Protect the c smmon defense and discontinuance of the regulatory Commonwealth under Chapters 6,7 security, to i rotect restricted data or to authority of the Commission within the and 8, and Section 161 of the Act with guard agains' the loss or diversion of State under Chapters 6,7, and 8 and special nuc' ear material. respect to the followin6 materials: Section 161 of the Act with respect to A. By product matenals as defined in Article VI by-product materials as defined in Section 11e.(1) of the Act: Sections tie. (1) and (2) of the Act, B. Sourm materials: The Commission will use its best sourm materials, and special nuclear C. Special nuclear materials in efforts to cooperate with the materials in quantities not sufEcient to quant 2 ties not sufHeient to form a Commonwealth and other Agreement f:rm a critical mass; and, critical mass; and, States in the formulation of standards Whereas.The Governor of the D. IJcensing of Low level Radioactive and regulatory programs of the Commonwealth of Massachusetts is Waste Facilities. Com nonwealth and the Commission for cuthorized under Massachusetts General protection against hazards of radiation Lawa, Chapter 111H, to enter into this Article D and to assu o that Commonwealth and Agreement with the Commission; and, This Agreement does not provide for Commission prograrna for protection wnereas The Governor of the discontinuance of any authority and the against hazana of radiation will be Commonwealth of Massachusetts Coramission shall retain authority and coordinated and compatible. The artified on [ June 1,1995,) $ March 28, responsibility with respect to regulation Commonwealth will use its best efforts 1996,4 that the Commonwealth of of to coo rate with the Commission and Massachusetts (hereinafter referred to as A The construction and operation of other greement States in the the Commonwealth) has a program for any production or utilization facility; formulation of standards and regulatory the control of radiation hazards B. The export from or import into the programs of the Commonwealth and the edequate to protect (the) public health United States of by-product, source, or Commission for protection against - _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . /
]
Federal Register / Vcl. 62, No. 6 / Thursday, January 9,1997 / Notices 1347 hazards of rediation and to assure that implementation of the Plan, the the Commonwealth's program will Shirley Aan Jackssa, a Commission, by order dated December I mntinue to be compatible with the Chairman. 28,1993 (HCAR No. 25963), authorized Program of the Commiasion for the F6 Commonwealth of Mauusetts. Entergy, from time to time through regulation of like materials.De Mamh 31,1997, to (1) grant options Cammonwealth and the e -miaa!on wiing ,y, w ,gg' (" Options") to eligible employees (as will use their best efforts to keep each hereinafter defined) to purchase up to other informed of proposed changes in moc. Sws Ned 1M a45 aml 2,000,000 shares ofits common stock, f their respective rules and regulations 55 p. value, or any successor security and licensing, inspection and E"18'8 0088 *** (" Stock"), and (ii) to issue and sell up enforcement policies and criteria, and to - h,2 000,000 sharos of such Stock upon obtain the mmments and assistance of the exercise of such Optjons. In SECURrTIES AND EXCHANGE addition,Entergy was authorized to l the other party thereon. Purchase, from time to time through l Arn VH March 31,1997, up to 2.000,000 shares ; Peteese No. 36-80640] he Commission and the of Stock to be held as treasury shares. J Commonwealth agree that it is desirable FHings Under the Public iMlHty Holding pending resale to such employees, for to provide reciprocal recognition of Company Act of 1936, as Amended the purpose of satisfying the anticipated licennes for the materials tisted in ("Act") retuirements of the Plan.
- Article I licensed by the other party or Tne Plan, as currently in effect, by any other Agreement State. I'""7 3'*** Provides for three consecutive annual Accordingly, the remission and the Notim is hereby given that the offerings of Stock, with the first such State agree to use their best efforts to foll wing filing (s) han/have been mao. s annual period commencing on April 1, develop appropriate rules, regulations, with ther==iaaion pursuant to 1994 and the third and final such and procedures by which suc'h Provisions of the Act and rules annual period termininating March 31, reciprocity wiD be accoMed. Promulgated thereunder. Allinterested 1997. Entergy now proposes to renew persons are referred to the application (s) and extend the Plan for an additional Article VIH and/or declaration (s) for complete three year period commencing April 1,
%e Commission, u its own statements of the proposed 1997, and to amend the Plan to provide initiative after reasona 1 notice and transaction (s) summarized below. The for such renewal and extension and for opportunity for hearing to the applimtion(s) and/or declaration (s) and the sale of up to 2,000,000 additional Cominonwealth, or upon request of the any amendments thereto is/are available shans of Stock during this extended Governor of the Commonwealth, may for Public inspection through the term.
terminate or suspend all or part of this Comminalon's Office of Public Acmrdingly, Entergy requests Reference. authorization, from time to time during Agreement and reaseert the licensing and regulatory authority vested in it Intemsted penons wiaMag 2 the period thrugh March 31,2m, m mmment or request a hearing on the grant additional Options pursuant to the under the Act if the Commisalon finds nsion Plication (s) and/or declaration (s) terms of the Plan, as amended, and, in ajould submit their views in writing by connection with the execution of such that is (1) such required termination to rotect public he or susMuary [th and27,1997 to the Secretary. Options (and the Options previously safety, or (2) t e r-monwealth has not Securities and E-han== Commi== ion, granted), to sell up to an aggregate ) complied with one or more of the madmum M 4,000,m ahams Mits requimments of Section 274 of the Act. WasMngen E 2M, and sene a l on tha Stock (including the 2,000,000 shares De enmmission may also, pursuant to WPfavaru(s) at eerelevant addrees(es)applicant specined (s) and/or currently au&orized) wMch rnay be Section 274) of the Act* temp"rarilI below. Proof of service (by afBdavit or, either authorized but unissued shares or [ ,'[g
", in case of an attorney at law, paviously issued shams pachased b Entergy on the open markA and held y n exists g certificate) should be filed wi the *healthd*$ o and safety an request. Any request for hearing shall the Corporation as treaswy shares.
id*ntify 8PecincaDy 6e issues M fact w Entergy intends, punuut to rule 42,2 law that am disputed. A person who no purchase on the open market, from time Commonwealth has failed to take requests will be notified of any hearing, to time through Maren 31,2000, up to n*****#I 8 ePS no Comminalon shad if ordered, and will roosive a copy of an ste maximtm of 4,000,000 PeriodicaHy myiew this Agreement and any notim or oder issued in the matter. shams Stock (including the 2,000,000 actions n by the Commonwealth ahares currently authorized), to be held limtion(s) and/ under this Agmament m ensum After said date, or declaration (s), asthe abed or as amended, as treasury shams pending resale to mmpliana with Section 274 of the Act. may be granted and/or permitted to participating employees pursuant to the l ArWcle IX hamme effective. terms of the Plan. Funds for the purchase of shares of This Agreement shallbeccme Entergy Corporaties (7s-4e77) Stock on the o market to satisfy the effective on (April 24,1996 ] (date to be Entergy Corporation,639 loyola requirements o the Plan will be , determined) and shad remain in effect A,' venue, New Orleans, Loulaiana 70113 obtained from intemaDy generated unless and until such time as it is ( Entergy*'), a registered holding funds. M imm the sale d shares terminated pursuant to Article VHl. company, has filed a declaration with of Stoci under the Plan will become Done at (Boston, Massachusetts) the commission pursuant to sections part of the general coporate funds of (location to be determined), in triplicate. 6(a) and 7 of the Act. Entergy and will be used (i) to purchase this (24)th De of(April,1996](date to Entergy adopted an eunployee stock Stock of Entergy sold or to be sold by be determin ). . option p%n, known as the Entergy Stock Entergy under the Plan, or (11) for other For the IMted States Eclear Raguleury Investment Plan (" Plan"), dated October genera corponte purposes. Any r=miasion. 29,1993. In connection with the authorization that is required under the Y_ ___-__' N N___
i l DRAFT 3 l Handbook on Nuclear Material l Event Reporting in the Agreement States i l Draft for Comment 3 l d 1 l February 1995 i i i j Office of State Programs U.S. Nuclear Regulatory Commission 4
Contact:
Patricia M. Larkins o
- . - . - - . - _ ~ - - .. . - . _ -- . . . _.- . . .
i ABSTRACT l jp The review and evaluation of operating experience of programs involving the use of nuclear materials licensed by the Agreement States is an integral part of the scope of the Commission's responsibility under the Atomic Energy Act. Itis important to articulate an industry and regulatory responsibility to report operating experience that may benefit health and safety. The review and
- evaluation of operational data identifies safety-significant events and concerns, and their causes.
This handbook has been developed to provide helpful information to the staff of the Agreement States who prepare operating experience reports for events that have occurred in their State for voluntary submission to the NRC through a voluntary exchange of information program carried out under the Agreement ! State Program. The handbook presents the scope of the program and describes
- procedures for the review, reporting, evaluation, and followup of nuclear material events that occur in the Agreement States. The objective of the handbook is to
! e Improve technical information o Standardize format j e Ensure consistency i e Facilitate information retrieval
- Reduce duplication of effort i
4 4 It has been divided into two sections and one appendix. Section I- defines the scope and i
- responsibilities of the Agreement States and NRC offices for reporting incidents and events involving nuclear materials. !
i Section II - describes the process for reporting nuclear material 3. events that have occurred in the Agreement States. j Appendix - contains forms,
; figures and tables.
i e 4
- _ _ _ . r-
. . . .. . - - _ .- .. . .- -. - - ~ - - - -
4 TABLEOF CONTENTS Page a i ) )' Abstract............................................................................. l Preface.............................................................................. v t SECTION I - Scope and Responsibilities ! In trod u c tio n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 SECTION H - Event Reporting Process I I n t r od u c tio n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 , o Prompt Noti fication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 4
- Routine Event Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
, e Provisions for Providing Additional Supporting Documentation ... 6 e Reporting Events through the NMED . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 [ e Written Event Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 e o Event Report Form 565 (Basic Information) ......................... 9 e Medical Misadministration Form 566 (Basic Information) ......... I1 4 e Required Information for Proposed Abnormal Occurrences ...... 13
- Editorial Style for Numerical Scientific Terms ...................... 14 4
' 14 e Units of Radiation Dose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Table 1 Definitions of Event Categories ......... . .. ....... .... . . .. . . ... 15 1 Table 2 Reportable Events . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Table 3 Examples of Reported Events . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 4 i iii 02/07/95
r APPENDIX - Forms, Figures and Tables NR C Fo r m 5 6 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-1 ,, NR C Form 5 66 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-2 Abnormal Occu rrence Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-3 Guidelines for Abnormal Occurrence Write-ups ............................. A-8 LIST OF FIGURES Figure 1. Sample Industrial Radiography AO Writeup ................. A-10 Figure 2. Sample Medical Abnormal Occurrence Writeup ........... . A-13 Figure 3. Report Process for Agreement State (AS) Incident an d Ev e n t s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-16 Figure 4 OSP and Regional Response to Agreement States Sienincant Event................................................................... A-17 Figure 5. Map of the Agreement States . . .... ... .. . . . ..... . .. . .. ... .. ... . . . .. A-18 O iv 02/07/95
PREFACE
.* *(1) to recognize the interests of Introduction the States in the peaceful uses of at mic energy, and to clarify the
*- By formal agreement with the Nuclear '**P***i"* '"P "'#'i" ""d*' *M' Regulatory Commission, a total of 29 Act of the States and the States have assumed regulatory authority commission with respect to the over byproduct, source and small regulation of byproduct, source, and special nuclear materials quantities of special nuclear material. (SNM);
These States, known as Agreement States, carry out independent regulatory programs I2 t reco ze e need, d under State statutes and regulations for ,, } ,h ,9 , 9, 9 pe,, o, nuclear materials licensees located in their between the States and the The NRC directly commission with respect to control respective States. of radiation hazards associated with regulates licensees in the remaining 21 use of such materials;- States, the District of Columbia, and all the United States (U.S.) territories. Statutory Reportine Reauirements Approximately 15,000 users are licensed by the 29 Agreement States. Of these, The Energy Reorganization Act, of about 10,000 are authorized to use 1974, as amended, directs the byproduct materials for industrial uses Comm,ssion i , to: such as, manufacturing and commercial distribution of licensed materials in calibration and test sources, monitoring I"",'j8defects ar and measuring devices, academ,c i research power plants and other licensed and development, medical applications facilities...- and radiography. The remaining 5000 *(3) safeguard special nuclear Agreement State licensees are authorized materials at all stages of the nuclear to use radioactive materials for medical I"*I *> *I'" diagnosis or therapy. See map of Agreement States in this Handbook. The .(4) investigate suspected, regulatory authority and policies governing attempted, or actual thefts of special nuclear materials in the , the Agreement State Program and the licensed sector and develop reporting of events is defined contingency plans for dealing with below. such incidents. 2 Regulatory Authority .(6) protect the public against the hazards of low-level radioactive
- Section 274 of the Atomic Energy emissions from licensed nuclear activities and facilities.. -
Act, covering Cooperation With States, states "It is the purpose of this section--: 02/07/95 v
As part of the collective effort by NRC and the Agreement States to regulate nuclear facilities and nuclear materials .. NRC, and compatible Agreement State, regulations require the reporting, by the regulated community, of incidents and ' events involving nuclear materials. Agreement States, however, provide l' information concerning incidents and events to the NRC on a voluntary basis. l Review of State Resu!atory Pronrams The NRC is required by the Atomic Energy Act of 1954 to periodically review Agreement State radiation control programs and confirm that they are adequate to protect public health and safety and are compatible with NRC programs. The reviews follow the guidelines contained in a Commission , Policy Statement published in the Federal Register on May 22,1992. Incidents and events that have occurred in the Agreement States are included in the formal radiation control program reviews. I I A l vi 02/07/95
J e
=
I 4 i i i $? l .i a 4 l i l 0
- l i
SECTION I 1 l l J ! Scope .I i Responsibilities ! i l 1 i
- 4 4
4
)
1 i i I l
=
4
1.0 SCOPE AND RESPONSIBILITIES' Introduction The scope and responsibilities of NRC offices and the Agreement States in the review, evaluation, and followup, of operational and occupational incidents and events involving nuclear material, including the medical use of byproduct material, is outlined below. Renorting of Event Information by events that have occurred in an Agreement State Licensees Agreement State. The Agreement States provide timely updates of information on Agreement States voluntarily provide significant events through the RSAO and information on incidents and events to the NMED database system. The NRC through an exchange ofinformation Agreement States notify NRC of other program. Reports of operational events events on a routine basis, within 30 days by licensees are required through of notification by an Agreement State , Agreement State regulations that are licensee, (1) through the Nuclear Material compatible with NRC reporting Events Database (NMED) system or, (2) requirements, e.g.10 CFR 66 20.2201- on NRC Forms 565 and 566, with 20.2206,5 30.50,634.30,f 35.2,Q 35.14,f f additional supporting background 1 35.32-35.33,6 39.77,6 70.50. Agreement in formation comparable to the State licensees submit event reports information needed for NMED. consistent with their importance and regulatory requirements to the Agreement Arreement State Event Reoorting - The l States. The Agreements States voluntarily Agreement States are responsible for the provide summary reports and statistical review, evaluation, and followup of data on operational events to the NRC incidents and events involving nuclear through the Office of State Programs materials that have occurred in their State. ) (OSP), Regional Offices, and the Office They also identify significant events that for Analysis and Evaluation of meet the abnormal occurrence criteria. Operational Data (AEOD). Additional They are responsible for collecting, information may be requested from the logging, storing, and retrieving nuclear Agreement State by OSP, the Regional material incident and event information in Office, or AEOD. accordance with State regulations that are - compatible to those of the NRC. The Notification Criteria - The Agreement Agreement States provide summary States notify NRC through the NRC reports and statistical data on incidents Operations Center, within the next and events to the NRC. working day, of significant incidents that have occurred in their State. The Preliminarv Analvses- Prompt reviews of Regional State Agreements Officer events by the Agreement States shall be (RSAO) or a backup staff member is performed in accordance with State responsible for follow-up of significant regulations that are compatible to NRC
Event Repor11ne Handbook regulations, to identify health and safety term "Microsoft Access" windows version. , concerns of an immediate nature. When clientiserver software, will provide on-line an event occurs in an Agreement State, real-time electronic transmission of event the State is responsible for taking all data through the NMED system. We expect .. necessary action to ensure public health to implement the Microsoft Access system by and safety. NRC assistance may be the end of CY1995. provided for events involving health and safety concerns of an immediate nature T issemination - Summaries and reports when requested by the State. Appr 'priate of Agreement State nuclear material program review and followup may be operational event information shall be provided by the Regional Offices and maintained by AEOD. Any preliminary ; OSP, for events that have been identified predecisional supporting documentation, 1 as having a significant potential risk to i.e., inspection or investigation reports, etc. j public health and safety. submitted in written form will become l part of the agency's automated Document Nuclear Material Data Collection - The Control System (DCS). Therefore, any office of AEOD is responsible for predecisional iMormation provided by developing and maintaining a Nuclear Agreement States that should be restricted Material Events Database (NMED) from public dis losure, should be clearly collection of all nuclear material event identified on the cover page, as follows: information that has been received from " Preliminary, No* for Public Disclosure." NRC material licensees and the Agreement States. AEOD, along with All other nuclear material event their contractor, Idaho National in form a tio n , provided to NRC Engineering Lab (INEL), has developed electronically or in writtten form, i.e., an interim event reporting database interim and final event reports, medical system using "FoxPro2.0" software. As of consultant reports, licensee event reports, October 1994,all of the Agreement States inspection reports, enforcement action, were provided with a copy of the interim etc. will be considered public information, FoxPro version of the NMED system. and made available to the public in The Agreement States have begun :esponse to specific public inquires for working with the interim NMED system event information. Additional specific and will provide feedback on their information may also be extracted from experience with the system. Agreament the NMED system in response to public States now have the capability to send inquiries. . updated information to NRC via diskette. Summaries and reviews of operational NOTE: The short-term, interim "FoxPro" events and experience for NRC licensees software based system, developed in a DOS and Agreement State licensees will be environment, requires the use of ? C published annually in NUREG-1272, diskettes to update information. The long- Office for Analysis and Evaluation of 2 02/07/95
Event Reportine Handbook Operational Data, Annual Report, Part II, within two hours of receiving information and those that have been identified as on a given event. , abnormal occurrences will be made publicly available through NUREG-0090, NRC Operations Center - The NRC Report to Congress on Abnormal Operations Center in Rockville, MD, Occurrences, published quarterly. serves as the focal point for communicating with NRC licensees, State Coordination with Food and Drug agencies, and other Federal agencies Administration (FDA) about operating events in both the nuclear reactor and nuclear material industry. Through a formal agreement to exchange The Operations Center is staffed 24 hours information, NRC provides information to a day by an NRC Headquarters FDA on incidents and events that may Operations Officer (HOO), who is trained potentially effect public health and safety, to receive, evaluate, and respond to events such as equipment malfunctions and reported to the Operations Center. failures, or medical misadministrations involving products of mutual regulatory Lonn-TermTrends and Analyses - Long-concern. term trends and analyses studies of nuclear materials operational event Review of Ooerational Event Data - The information are performed by AEOD in NRC Operations Center staff respond to coordination with other offices. The prompt notification calls received from various elements of the AEoD studies are Agreement State staff, informing the NRC as follows: of significant events that have occurred in an Agreement State. The NRC 1. Determination of the safety importance Operations C .er staff promptly transmit and possible generic implications. tle information to the NRC Regions via the Event Notification (EN) system. The 2. Coordination of the overall NRC Regional State Agreements Officer operational data program, and support of (RSAO) who is responsible for review and the agency effon to prevent unnecessary followup of events involving nuclear duplication of effort. material that have occurred in an Agreement State, promptly notifies OSP 3. Evaluations of trends or patterns of when an event may involve significant events in order to study and determine health and safety issues or national implications for: safety concerns arising interest. The RSAO is also responsible from the frequency of less significant , for preparation of Preliminary events; inadequacies or unreliability of Notifications (PNs) on a given event in specific equipment or procedures. accordance with criteria contained in NRC Inspection Manual 1120. Please note that 4. Evaluation of specific everts in order IM1120 recommends the issuance of a PN to: identify poteuti .1 abnormal 3 02/07/95
Y Event Reportine Handbmk occurrences for possible inclusion in comment in a Federal Register Notice in ., NUREG-0090, Report to Congress on early 1995.) Abnormal Occurrences, published . quarterly by NRC. Some events can Feedback and Follow-on Actions - As part - require analysis from several perspectives, of operating experience feedback, AEOD 1 perhaps by several different NRC offices may provide lessons learned to the in the context of each office's industry and the regulatory community, responsibilities. and may make recommendations to improve operational safety. Specific
- 5. Feedback to industry, the regulatory recommendations mayinvolve: changes in community and others lessions learned in operations orprocedures; improvements in order to improve safety. training; changes in guidance documents 1
or the inspection program; the issuance of An abnormal occurrence (AO) is defined reports, or improvements in data : as follows: collection, assessment, and feedback. ! AEOD publishes studies of specific l operational events and, e appropriate,
=
l Abnormal Occurrence - Section 208 of the recommends action to reduce the Energy Reorganization Act of 1974 probability that these events will recur identifies an abnormal occurrence as an with the same frequency or will lead to unscheduled incident or event that the more serious events. AEOD also provides NRC determines to be significant from the technical training programs and cevelops standpoint of public health or safety and and provides videotapes to support various requires a quarterly report of such events training programs. to be made to Congress. Overview through Arreement State Program Reviews - Regular assessments The Agreement States voluntarily provide and evaluations of event review, reporting, draft AO writeups for events that meet and follow-up are performed by the the AO criteria through the Agreement Regional State Agreements Officer, OSP State exchange of information program. and team members from other technical The draft writeups provide information offices, as deemed necessary, during consistent with the samples provided in scheduled followup and routine biennial the Appendix to this handbook. The AO reviews of the Agreement State radiation criteria are described in NUREG-0090, control programs. ,
" Report to Congress on Abnormal Occurrences," a quarterly report prepared Resolution of Problems -
Any by AEOD, The Appendix to this disagreements in the implementation of 'l Handbook contains a description of the these activities between other NRC offices current AO criteria. "e criteria are and the Agreements States shall be l currently under revision. (The revised referred to OSP. criteria are expected to be published for 4 02/07/95
l i, i f t 1 5 l. i i ..
- I 1
) i i. 4 SECTION II I l I l t 1 ! I l Event Reporting Process 1 1 4 l t ( i f l i i I L i !9 4 I 1 4 i l 1
Event Reportine Handbook 2.0 EVENT REPORTING PROCESS . 1
? -
j l Introduction 1 i When submitting an event report, enough information about an event should be provided ; so that NRC can evaluate the event in terms of safety significance, long-term generic l implications, and as a possible candidate for the " Abnormal Occurrence Report to Congress." The following guidance has been provided to help in submitting event information to the " Nuclear Materials Events Database (NMED)" or for written form event information, completing NRC Form 565 or 566, along with a complete abstract and supporting documentation, when necessary. Event information submitted in written form should be compatible to the information that is necessary for entry into the NMED system. l Agreement States should generally, only submit information on incidents and events that l meet the regulatory reporting requirements of Agreement State regulations. Unique Event ID Number: Always begin the original event report and any updates to it, with the " Original Item No.," consisting of the State ID, year, sequentially assigned ID , number, i.e.,(NY-94-001), (NYC94-001), (UT-94-001). The " Original item No." should be used for telephone, electronic or written notification of an event. This Original Item No. is to be specified by the State at the time of the initial telephone call, and used for all subsequent transmissions involving the specific event. Prompt Notification The following information should be provided as a minimum:
- 1. Agreement States should report to the NRC, within the next working day of a. Original Item No.
being notified, significant events requiring b. License No. prompt notification (within 24 hours or c. Licensee less) as determined under applicable d. Event time, date. location Agreement State regulations and which e. Event type are determined to be significant from the e. Any notifications, i.e.,other agencies, standpoint of public health and\or safety. Patient, press release, etc.
. No1E: Agreement States may use their discretion in f. Event description: release, isotope, reponing other events that do not meet regulatory activity, exposure (s), dose, , requirements but have the potentialfor high media contamination level (s), equipment, , interest. (Sigmficant event is defined in Table 1) malfunction, model No., etc.
- 2. Agreement States should report the 3. The NRC Operations Center will e vents by telephone to the NRC prcmptly notify the Region Duty Officer Operations Center, telephone No. (301) of Agreement State events.
316-5100,(301) 951-0550, and FAX (301) 816-5151. 5 02/07/95
l l Event Renostine Hendbook
- 4. All events reparted to the NRC (3) the record entry by the Agreement Operations Center willbe entered into the State. .
Event Notification (EN) database and distribution channel. Routine Event Reporting
- 5. Following Region procedures, the 1. Agreement States should report routine I Regional State Agreements Officer events within one month of being notified
- (RSAO) will prepare Preliminary of an event by an Agreement State j Notifications of Events or Unusual licensee or other person. (Routine event is l l Occurrences (PNs) as appropriate, follow defined in Table 1) up on events with the Agreement State, and act as a point of contact for the NRC 2. Agreement States should provide a in developing additional information on record of the event through the NMED the event. The RSAO is responsible for database system. Follow the procedures preparation of PNs en a given event in in the NMED Coding Manual provided by accordance with criteria contained in NRC INEL.
Inspection Manual 1120. Please note that IM1120 recommends preparation of a PN Event Report Undates (followun within two hours of receiving information on a given event. The Region and the m foMiM Office of Nuclear Material Safety and Safeguards will decide whether follow-up 1. The initial Unique Event ID Number mformation and/or a follow-up PN willbe (Original Item No.) should be included issued on a case by case basis. whenever additional followup event information is provided to NRC.
- 6. Agreement States should also provide a record of the event through the NMED 2. Such documents may include, event database system as soon as they have reports submitted to the Agreement State sufficient information to indicate what by the licensee, and inspection or happened (30 day repon). This record investigation reports. The followup event should be updated as new or clarifying in formation may be extracted, summarized, and entered into NMED.
information is developed.
- 7. The Idaho National Engineering 3. Follow the procedures for filing event Laboratory (INEL) will receive update repons to ensure that complete information on the event forinput into the information on events is input into the ,,
Material Events Database. These Nuclear Material Events Database procedures are contained in the NMED - (NMED) as follows: Coding Manual provided by INEL. , (1) through the Preliminary Notification of Events or Unusual Occurrences (PN), 4. Additionally, when providing follow-up reports, provide clear reference to (2) through the Operations Center Events Notification system, and documents on file at the State used to generate the event reports. 6 02/07/95
Event Reportine Handbook 5.WrittenFollowupInformation: Written the end of calendar year 1995. This i form followup reports of significant (24 system will also provide database query hour notification requirement) events that and reporting capabilities. Beginning on are not readily available in electronic form November 30, 1994, the IRM software or are too bulky (lengthy) to send via E- contractor will begin testing this system mail, i.e. licensee reports, inspection with query capability only. repons, State investigation repons, medical consultant report, etc. should be Written Reports ~ sent with a cover page (see p. 8 of the Handbook) to the Regional State Agreement States that choose not to Agreements Officer (RSAO) and the voluntarily participate in the Nuclear Deputy Director, OSP. Material Events Database (NMED) program, may complete NRC Form 565, Any event information that is considered " Event Report" or NRC Form 566, preliminuy predecisional information by " Medical Misadministration," whichever is the State should be clearly identified on applicable. These forms provide limited the cover page as follows: " Preliminary, basic information oniv. Written report
~
Not for Public Disclosure." information should be compatible to the level of detail on an event that is Repor+ing Events through the necessary for the "NMED" database. Nuclear Material Evets_patabase Therefore, in addition, please attach any (NMED) background documentation, i.e., State summary report, licensee event States can use the event description, inspection report, etc. that Agreement preparation program (computer software Provides a complete description of the distributed to the Agreement States at the event and any actions taken to prevent a end of October 1994) to prepare event recurrence. Please use these guidelines when preparing a w_n11cn event report for reports. Reports in diskette form should an meident that has occurred in your be sent to the Idaho National Engineering State. Please send your completed form Laboratory (INEL). and supporting descriptive documents, along with a cover page (see p. 8 of the Beginning with the September 30, 1994 Handbook) to the Deputy Director, OSP. distribution of the interim database system, operating event data submitted by The following pages contain a consecutive
- Agreement States and operating event listing of the items that are included in data submitted to NRC by NRC licensees NRC Form 565, Event Report, and NRC can be shared by NRC and the Agreement Form 566, Medical Misadministration
- States. Agreement States will receive report form, as well as, any additional monthly updates of data direct from necessary information, followed by a INEL. description of the information that should be provided. Also provided is a sample An on-line system, replacing the diskette cover page for sending in written event system for preparing and transmitting informaton.
event reports to NRC, willbe available by 7 02/07/95
Event Repor1ine Handbook EVENT REPORT COVER PAGE AGREEMENT STATE EVENT REPORT NO. - - DATE: TO: Deputy Director Office of State Programs
SUBJECT:
STATE: Signature and
Title:
4 F 8 02/07/95
Event Reportine Handbook (1) Type of Isotope (AEA material, EVENT REPORT FORM 565 accelerator produced, NARM, etc.) (Basic Information) (j) Date of Event This form is an option for those Agreement States who choose not to (k) Date of this Report ; voluntarily participate in the Nuclear Material Events Database (NMED). The (1) Amount of Radioactive Material information provide shall be compatible to (Do not complete form if below the information needed for the NMED regulatory requirement). system and presented clearly in typed form. (m) Events Involving Overexposure (a) Licensee (Name, city and State) - No of Overexposures j
- Source of Radiation (b) Original Item No. (NYC-94-001) - Type of Individual (MS-94-001), State ID, year, - Event location sequentially assigned ID number. - Dose l
Type of License (n) Leaking Source (c) (d) License No. (o) Lost or Stolen Material (e) This Item No. (Update No. 01,02, - Event etc.) - Event Location
- Probable Disposition j (f) Abnormal Occurrence (Y\N). See (p) Release of Material l AO Criteria contained in NUREG- 1 0090
- Form l (g) Follow-up Report (Y\N) for - Event information that becomes available - Location after the initial report has been ;
(q) Events Involving Facilities submitted.
- c. Events Involving Gauges (h) Isotope (i.e.,Cs-137; Ir-192, Co-60, (r)
- Am-241, Po-210 etc. (clearly ,
, identify any compound - Type l radioisotopes). - Event l e1 ear 1y show (s) Events Involving Radiography Need to radiopharmaceuticals, as well as isotopes.
- Location
- Event i
1 02/07/95 ! 9 l
Event n;=:_c= m=+_:ek . (t) Event Involving an Irradiator s , (u) Events Involving Teletherapy (v) Transportation Event
- Location
- Shippers name and address
- Package type
- Package Identification No.
(w) Regulatory reporting requirement , (Indicate applicable licensee reporting requirement) ; (x) ABSTRACT: Include where, when, how,and why. (Describe the cause of the event (s), all persons involved f and any health effects, and licensee corrective actions.) Include any actions taken by the State such as i enforce men t. Attach any supporting documentation, i.e., State summary report, licensee report, inspection report, etc. 1 1 4 9 1 10 02/07/95 i l 1
i 1 Event Reportine Handbook (1) Regulatory reporting requirement MEDICAL MISADMINISTRATION (Indicate applicable licensee FORM 566 (Basic Information) reporting requirement) This form is an option for Agreement (m) ABSTRACT: States that choose not to voluntarily participate in the Nuclear Material Events Initial report: Include where, when, Database (NMED). The information how, and why, (provide as much provided shall be compatible to information as is known at the time information needed for the NMED system of the initial report). and presented clearly in typed form. NOTE: Need to clearly show (a) Licensee (Name, city and radiopharmaceuticals, as well as State) isotopes. l (b) Original Item No. (NYC-94-001) Isotope and dose involved: (MS-94-001), State ID, year, (i.e., 200 pCi of Iodine sequentially assigned ID number. Hippurate I-131; 5 mci of Iodine 125; 10 mci of (c) Type of License (Broad scope, Iodine-131; 40 rad of Cs-private practice medical, etc.) 137; 2 mci of Tc-99m; 5 mci of P-32, etc. (clearly (d) License No. identify any compound radioisotopes). (e) This Item No. (Update No. 01,02, 03, etc.) Exposure: Intended and actual (f) Abnormal Occurrence (Y/N). See Treatment plan: fractionations, if i AO Criteria contained in NUREG- any. I 0090. Device (Equipment) (g) Follow-up Report (Y\N) involved: High Dose Rate Afterloader, Make and i Patient \ Responsible R elative Model No. , non-AEA (h) Notified (Y\N) Accelerator, X-Ray, etc. (where applicable).
~
j (i) 15 day Written Report Provided (Y\N) Systems: Computer program and developer. (j) Date of Event i Referring Physician l (k) Date of this Report notined: (Y\N) 13-02/07/95 ;
1 l Event R*=a *ine H==dbaak Abstract Infomiation cont. ., 4 Irselude information on all person (s) that may have been involved including . emplo:'ees, i.e. assistants, technicians, j nurses, etc. Where applicable, describe , the prescribed treatment plan and the ) i actual treatments administered, including l fractionations. Provide an assessment of 4 any expected effects on all those who were i- exposed, for unusual cases it may be necessary to include a medical consultant.
- What caused the event? Consultant used,
- identify. Describe licensees corrective actions.
4 Updated Information: provide any
, updated information in future reports, use
~ the Original Item ID# (MS-94-001) and indicate on the cover page that it is updated information. I i i i .) 6 1 . 9 i 02/07/95 f 12 1
Event Renodine Handbook INFORMATION THAT WILL BE ABNORMAL OCCURRENCE REQUIRED FOR PROPOSED REPORTS ABNORMAL OCCURRENCES Provisions for NRC obtaining sufficient details to file Abnormal Occurrence Reports to Congress, In accordance with Section 208 of the . .
- 1. AEOD supervisor will directly contact Energy Reorganization Act of 1974 supervisor at Agreement State and request (Public Law 93-438, 42 USC 5848) the ,
additional mformauon if needed to Commission shall submit to Congress each Prepare AO reports. quaner a report listing any abnormaj occurrences... each report shall contain:
- 2. Agreement States willscreen events for events meeting AO criteria and (a) The date and place of each recommend events for potential AOs.
occurrence; AEOD also screens events for events meeting AO criteria; and in some cases, (b) The nature and probable AEOD may independently recommend consequences (effects) of each events for potential AOs. NRC occurrence,' Management Directive 8.1 " Abnormal Occurrence Reporting" currently is being (c) The cause or causes of each; and, revised to address Agreement State screening of events for potential AOs and (d) Any action taken to prevent therissues. recurrence,
- p. Agreement States, in accordance with (this includes corrective actions mstnictions in Appendix A to this taken by the licensee, and any Handbook, will prepare write-up for action taken by the State, (i.e.
satisfied with the following Potential AO events. corrective actions taken by the 4. Future goal: Improve data collection licensee ...,and\or any actions and event reporting by Agreement States taken by the State, including and revise Atnormal Occurrence write-ups enforcement.) to mee write-up more closely linked to inf rmation in the Material Events The Agreement States support the NRC Database to eliminate need for in their effort to keep Congress appraised States to provide draft Agreement of any significant events that may directly Abnormal Occurrence write-ups. affect public health and safety by voluntarily providing information on proposed abnormal occurrences that have occurred in their State. 13 02/07/95 1 l I
Event Reportina Handbook EDITORIALSTYLEFOR NUMERICAL SCIENTIFIC TERMS Metric System: Use dual units, first use Intemational System of Units (SI) with the English unit equivalent following in parentheses. Spell out the first time it appears, continue with an abbreviation. For example: 1000 centigray (cGy) (1000 rad) the first time, and continue with 1000 cGy (1000 rad). 50 millisieverts (mSv) (5 rem) 730 megabecquerel (MBq) (20.4 mci) UNITS OF RADIATION DOSE (As defined in i 20.1004(a)) Gray (Gy)is the SI unit of absorbed dose. One gray is equal to an absorbed dose of 1 joule / kilogram (100 rads). Rad is the special unit of absorbed dose. One rad is equal to an absorbed dose of 100 ergs / grams or 0.01 joule / kilogram (0.01 gray). Rem is the special unit of any of the quantities expressed as dose equivalent. The dose equivalent in rems is equal to the absorbed dose in rads multiplied by - the quality factor (I rem = 0.01 sievert). Sievert is the SI unit of any of the quantities expressed as dose equivalent. The dose equivalent in sieverts is equal to the absorbed dose in grays multiplied by the quality factor (1 Sv = 100 rems). 14 02/07/95
Event Renor+1a. Handbook I t The following three tables provide useful information on 1. Definitions of event categories, ,
- 2. Reponable Events, and 3. Examples of reported events and sources of information.
)
Table 1 - DEFINITIONS OF EVENT CATEGORIES
= ==_ = = = = = = = = - : = .w - = = = = = = = _ = =-
Potential An abnormal occurrence is an unscheduled incident or event which Abnorntal the Commission has determined to be significant from the standpoint h rren e f ublic P health or safety. NRC has established specific criteria to evaluate the significance of an event as a potential AO (see (AO) Appendix for additional information). Other Any event involving licensed nuclear materials that does, will, or Significant may impact public health and safety. Incidents that fall under this Events category should be reported by the licensee to the appropriate regulatory agency within 24 hours. As a minimum, this should include events that are required under NRC and compatible State regulations, such as 10 CFR 20.2202 (a), (b); 6630.50(a), (b); 6635.33(a). Routine Any event involving licensed nuclear material that does, will or may ) Events lead to or may be part of a pattern that could pose a health and safety risk. This category includes events that are required to be reported within 30 days such as 10 CFR 34.40. Events that do not require immediate notification. Incidents that do not meet the regulatory threshold that could lead to or may be part of a pattern that could pose a health and safety risk are also included in this category.
)
9 15 02/07/95
l l l ( Event Repor*Ia* mndbook l -l Table 2 REPORTABLE EVENTS
~
Typical items covered under reporting requirements include the following:
-;, = - = = = = = = = = = =_ = =__=- = _ = = = = , - -
l 10 CFR 20.2201 repons of theft or loss oflicensed material. l 10 CFR 20.2202 immediate notifications... and 24 hour notification criteria for events involving byproduct, source, or special nuclear material. 10 CFR 20.2203 radiation exposures, releases or concentrations of radioactive material that exceed the limits. 10 CFR 21.21 reporting of defect in basic component, structure or system. 10 CFR 30.50 reponing of events involving: Prevention of immediate protective action, ) Unplanned contamination restricting access > 24 hours, l Safety equipment failed or disabled, ! Unplanned medical treatment of contaminated person, Fire, explosion affecting integrity of material or container. 10 CFR 34.30 radiation safety reponing requirements for radiographic operations. l 10 CFR 35.33 notifications, repons, and records of misadministrations. 10 CFR 35.2 definitions, covering " Medical Use of Byproduct Material." 10 CFR 36.83 notification of events involving irradiators. 10 CFR 39.77 notification of incidents and lost sources, abandonment procedures a for irretrievable source . 10 CFR 40.60 reporting requirements for domestic licensing of source material to " receive, possess, use, transfer, or deliver source and byproduct material 10 CFR 70.50 reporting requirements for incidents involving special nuclear material (SNM). 16 02/07/95
Event Reportine Handbook o Table 3 EXAMPLES OF REPORTED EVENTS AND SOURCES OF INFORMATION OPERATIONAL EVENTS e Medical Misadministrations (10 CFR Part 35) e Radiopharmaceutical e Brachytherapy e Teletherapy 4 e Gamma Stereotactic Radiosurgery e Radiation overexposures exceeding Part 20 dose limits e Unplanned contamination events e Radiography equipment failures e loss or release of radioactive material e Leaking sealed sources e This would include reporting of incidents or conditions that could have caused a radiation exposure or loss of material or otherwise affected public health and safety, but did not meet the regulatory requirement. SOURCES OF INFORMATION e Voluntary event reports prepared by the Agreement States e Voluntary submission of licensee event reports by Agreement States to NRC e Voluntary submission of proposed abnormal occurrence reports
- e Analysis of and\or response to Agreement State incident \ allegations a program during performance of routine program review by OSP and the Regional State Agreements Officer (RSAO).
o 02/07/95 17
,..J.am_m.w .w - 4,,44 e m -_es aef.-an.,. 4v.. AgA-ew _ A_m.ma mauu--.am-.M.-. h-a ah,a ,_a#_,a,u.4 4s._s.,As m .e asa s.a-,m ,am a m. m.maam aam aemw _. A esw e_.A
} i i [ i l r i i i i l .. 1 i i I e i i i l ,1 4 1 a i i APPENDIX 4 1 4 j ! l 1 1 , d I A A 4
MtCFORMSol U.5. NUCLEAR REGULATORY COMMISSION APPROVED Sy OMS. NO. assoe17e EXHRES' Nfaefet , WM) ESTluATED SURDEN PER OSPONSE VO COMPLY WITH TMS l
. e#0RMATION COLLECTION REQUEST 1 HOUR TMS N80RMAT10N IS j REQUESTED TO Amoret MATERIALS EVENTS AND EVALUATE EVENT REPORT ^=5 "Sc555^""o '"S** **" "*""*"c"o"* *o COMMENr5 REa=D.o SURDEN ESMATE TO NE MORMATON AND RECORDS MANAGEMNT ORANCH (T4 FS3) US NUCLEAR REGULATORY rymmmeenN. WASHNGTON. DC 20M60001. AND TO j THE PAPERWORK REDUCTION PRCUECT ($1804178L OFFICE OF 7i MANAGEMENT ANO SUDGET, WASNNGTON, DC 20EC3 I UCENSEE CffY AND STATE OftlGMAL (TEM NUMBER j* TYPE OF UCENSE e e , Anymphy. Fwess mucose acessel, est) UCENSE NUMBER TMS ITEM NUMBER 3
TYPE OF ISOTOPE DATE OF EVENT AnwORug pogowa OCCURRENCE REPORT AEA MATERnR Arvs1 BRATOR PRODUND DATE OF TMS REPORT YES
]TES NORM j NO AidOUNT OF RADIOACTfVE BAAtikiAL #emsww of mownela messe arerner einnefy de not erwisas he ihrm) l e 1 M6 LUG 100 MLUQ . e1 0 10 0 100 Q
] UNNNOWN I 1 MILUG e 100 MILUG 1 O . e 10 Q e 100 0
- j. EVENTSINYOLVING OVEREXPOSURE NUMBER OF OVEREXPOSURES DOSE TO DOSE RAD REW j TYPE OF EVENT
' DOMOUAL LOCATION WHOLE SODY SOURCE OF RADATION EMPLOYEE RESTMCTED AREA LANS OF EYE EXTtNAL MINOR EMPLOYEE UNRESTRICTED AREA EXTREM!TY j INTERNAL EMORYOFETUS ComROLLED AREA SUN PUSUC ORGAN j BOTH LEAKJNG SOURCE LOST OR STOLEN MATERIAL
~ EVENT EVENT LOCATION PROSAALE DISPOSmON LOST FIXED STE WELL LOGOING RECOVERED SOURCE UPMNOWN 4
FOUND TEMPORARY JOS SffE WELL LOGONO StRETRIEVASLE SOURCE OTHER(SasaM
- THEFT UCENSED VEHICLE emusstoAL WASTE a - - -
2 COMMERCLAL CARRIER N ONERATOR THEFT. WTTH ~ FORCE OTHER (Spec 6) SQtAP METAL i , [l RELEASE OF MATERLALS LOCATION . FORM EVENT SOUD SPILL RES11tsCTRED AREA 7 UOUID TRANSPORTATION UPetESTRCTED AREA > GAS OTHER (Saac6) CoeffROu2D AREA EVENTS NVOLVING F AQLfTIES FIRE SPILL ] CM (SpeaQ) DAMAGE TO DEVICE
- 2mOUR DEMAL OF ArYm EXPLOSON CAMAGE TO SAFETY EOuiPMENT EVENTS Mv0LVNG GAUGES EVENTS PNOLVING RADCORAPHY TYPE EVENT ,
LOCATION TVENT GENERAL UCENSE BNUTTER FDED SoustCE DISCONPECT s - -
#* MCASTURE/DENSffY GAUGE DAMAGE TEMPORARY SOURCE NOT RETURPED TO FULLY SHIELDED POSrTION EXEMPT - -
JOS STE SPECIAL UCENSE LOST / STOLEN y CABLE FALuftE
)- <
C A OTHER (Speedy) FALUltE TO FOLLOW PROCEDURES FDED - MANUF ACTVRER MODEL SER4AL NUMBER EVENT NVOLVNQ AN WtMDiATOR EVENTS NVOLVING TELETHEMAPY A&5 TRACT (Mclude me seaws of me evenlla) and scoruse (mecimo acton Mey to sonenned on me reverse smo) l i .' PRW'ED ON RECYCLED PAPER NRC FORM $65 WN; l A-1
NRC FORM 666 U. S. NUCLEAR REGULATORY COMMISSION APPROWD B7 OMS NO. 31664173 EXPIRES. 04f30ft? p) ESTIMATED SURDEN PER RESPONSE TO COMPLY Wfm TMS OFORMATION COLLECTION REQUEST 1 HOUR TH13 NFORMATION LS REQUES'ED To ama m MISADMINISTRATIONS AND EVALUATE
'C'"'"**^"" ""'*"*'""5"""'""'"*^"
MEDICAL MISADMINISTRATION < N REGARDNG BURDEN ESTIMATE TO THE NFORMATION ! AND RECORDS MANAGEMENT BRANCN (T4 F33). U$ NUCLEAR REGULATORY m. WASNHGTON. DC 2066MC01. AND TO M PAPERWORK REDUCTION PROJECT (316601783 OFFICE OF
""**'**ff APC SUOGET,WASHMGTON, DC 20603 i
UCENsEE CITY AND STATE ORiGsNAL ITEM NUMBER TYPE OF U2NSE fe p , Grand Sanne seveM Proense Mesmat on:J U2NSE NUMBER TMS ITEM NUMBER FOLLOWMP M PATENT DATE & N ASNORMAL OCCURRENCE REPORT WAS NOTFED YES YES DATE OF TMS REPORT YES NO NO j NO 9006UM IODNE 6126 OR bili,
- 30 MfCROCURIES WRONG PATIEfff
,, WRONG RADIOPHARMACELmCA.
ADMNSTERED DOSE DIFFERS FROM PRESCRJOED DOGE BY
- 20% APC DFFERENCE NWBftE 30 MICROCURES THERAPEUTIC RADIOPNARMA2LmCAL DOSE, OTHER THAN b125 OR 4131 WRONG PATENT WRONG RADIOPMARMACEUTICAL
~
WRONG POUTE 08 ADMNSTRATION ADMIP"S13 RED 000E DIFFERS FROM PRESCRISED DOWE BY a 20% SORECTACTIC RADCSURGERY $_^?"nM - WRONG '#ATIENT WP'AG
. TREATMENT 3 RTE
~
i ADMNETERED DOGE OFFERS FROM PRESCRitED DOSE BY MORE THAN 10% TELETHERAPY WRONG PATENT WRONG MOOE OF TREATMENT
- WRONG TREATMENT SfTE
~
ADMHSTERED DOSE DISTERS FROM PRESCRIBED DOSE SY MORE THAN 10% F TW ARE $ OR FEWER FRACTIONS PRESCRIBED. OR WHEN WEEKLY CALCULATED
- ADMMSTERED DOSE DCEEDS PRESCRIBED DOSE BY
- Wm. OR WHEN CALCULATED TOTAL ADMNSTERED DOSE DFFERS FROM PRESCRIBED DOSE BY
- 20%
WRONG PATENT [ WRONG RADIOtSOTOs E WRONG TREATMENT SfTE LEAJONG SOURCE l OPE OR MORE SOURES NOT REMOVED AT EPC OF TREATMENT CALCULATED ADMHSTERED DOSE DFFERS FROed PRESCRieED DOSE SY > 20% D6 AGNOSTIC RAD 60PMARMACEVTICAL DOSE, ODER THAN QUANTmES THAT EXCEED 30 MICROCURES OF 6125 OR b131. OR BOTH. WNEN THE PATIENT 0%$E DCEEDS 5 REM
- EFFECTIVE DOSE EOuntALENT OR 50 REM ORGAN DOSE AND DNOLVES WRONG PATIENT WRONG RADCPMARMACELmCAL
- A WRONG ROUTE OF ADMNSTRATION
$f ADMNSTERED DOSE DFFERS FROM PRE 9CRIGED DOSAGE
,j ASSTRACT pichase yo susw er to meneemasteaan, euromang Mears. amt menses erucovo acem Mey se sonenwed on me rewwse see) 4i PRINTED ON RECYCLED P APER
##tCFORM906 M44; A-2
1 i l Event Etm# - mM - i APPENDIX i
.. ABNORMAL OCCURRENCE CRITERIA i The following criteria, used to determine abnormal occurrence (AO), were set forth in an NRC policy statement published in the Federal Register on February 24,1977 (Vol. 42, No.
37, pages 10950-10952). l An event will be considered an AO if it involves a major reduction in the degree of protection of the public health or safety. Such an event would involve a moderate or more {- severe impact on the public health or safety and could include but need not be limited to:
- 1. Moderate exposure to, or release of, radioactive material licensed by or otherwise i
, regulated by the Commission; I A 2. Major degradation of essential safety-related equipment; or
- 3. Major deficiencies in design, construction, use of, or management controls for
- licensed facilities or material.
2 ! Examples of the types of events that are evaluated in detail using these criteria are: For All Licensees i
- 1. Exposure of the whole body of any individual to 25 rem or more of radiation; l exposure of the skin of the whole body of any individual to 150 rem or more of radiation; or exposure of the feet, ankles, hands or forearms of any individual to 375 rem or more of radiation [10 CFR 20.403(a)(1)], or equivalent exposures from ;
internal sources. ;
- 2. An exposure to an individual in an unrestricted area such that the whole body dose ,
received exceeds 0.5 rem in one calendar year [10 CFR 20.105(a)].
)
- 3. The release of radioactive material to an unrestricted area in concentrations which, if b averaged over a period of 24 hours, exceed 500 times the regulatory limit of Appendix B, Table II,10 CFR Part 20 [CFR 20.403(b)(2)].
- 4. Radiation or contamination levels in excess of design values on packages, or loss of ;
confinement of radioactive material such as (a) a radiation dose rate of ' 000 mrem per hour three feet from the surface of a package containing the radioacave material, or (b) release of radioactive material from a package in amounts greater than the regulatory limit. i A-3 02/07/95
Event Rena=*Ine madhaate
- 5. Any loss oflicensed material in such quantities and under such circumstances that ,
substantial hazard may result to persons in unrestricted areas. !
- 6. A substantiated case of actual or attempted theft or diversion of licensed material or sabotage of a facility.
I
- 7. Any substantiated loss of special nuclear material or any substantiated inventory discrepancy that is judged to be significant relative to normally expected performance and that is judged to be caused by theft or diversion or by substantial breakdown of l the accountability system.
- 8. Any substantial breakdown of physical security or material control (i.e., access ;
control, containment, or accountability systems) that significantly weakened the protection against theft, diversion, or sabotage.
- 9. An accidental criticality [10 CFR 70.52(a)]. I
- 10. A major deficiency in design, construction, or operation having safety implications !
requiring immediate remedial action.
- 11. Serious deficiency in management or procedural controls in major areas.
- 12. Series of events (where individual events are not of major importance), recurring incidents, and incidents with implications for similar facilities (generic incidents) that create major safety concern.
i Medical Misadministrations , The NRC policy statement on Abnormal Occurrences (AOs) was published before licensees were required to repon medical misadministrations to the NRC. Therefore, during 1984, , t l NRC developed guidelines for selecting such events for AO reporting. These guidelines, which are summarized in Table A-1, augment the NRC policy statement. ! The AO criteria guidelines are currently under development to bring them into conformance -; with c.w medical misadministration definitions that became effective on January 27,1992, el
- 'i l 4 i i
l t-l f l A.4 02/07/95 t
l l 4 Event Espprting Handbook l l y Table A.1 NRC Guidehnes for Selecting Medical Misedmmistration Events for Abnormal Occurrence (AO) Reporting
** AO Reportma Threshold 3
Event Tvoo D oonost'e troosure Thermoeutie Exoosure j I i (1) Administering a If the improper admmistration results in if the improper administration results in radiopharmaceutical or radiation any part of the body receiving unscheduled any part of the body receiving unscheduled from a sealed source other than radiation, en AO report should be proposed radiation, en AO report should be proposed the one intended, if: for any such event. (a) the actual dose to the wrong If the parts of the body receiving radiation body part is greater than five improperly would have received radiation times the upper limit of the anyway, had the proper administration normal range of exposures been used, en AO report should be prescribed for diagnostic proposed if: procedures involvmg that body part, E (a) the octual does is greater than 1.5 times that intended to the (b) there era cimical indications of above described body parts, g, g adverse health effects to the wrong body part. (b) the actual dose is less than 0.5 tirr.as that intended to the above if the parts of the body receiving radiation described body parts, g, improperly would have received radiation anyway, had the proper administration (c) the above desenbod body parts been used, en AO report should be show signs of adverse health proposedif: effects greater than expected had the proper administration been used,E (al the actual dose is greater than five times that intended to the above described body parts, g, (b) the above described body parts show signs of adverse health effects greater than expected had the proper administration been used. I
- 2) Administering a redsopharmaceutical An AO report should be proposed if: An AO report should be proposed for any
." Er radiation to the wrong patient.
such event. ) the actual dose to the wrong ( (a) patient exceeds five times the g prescribed dose for the intended I patient, or (b) the event results in any adverse : health effects. l l A-5 02/07/95
Event h==+i== Ha=Aook Table A 1 (Continued) t AO Rooortino Threshold Event Tvne Diaanostic Exoosure Therapeutie Exposure (3) Adminiatering a Same guidehnes as for Event Type 1. Some guidelmes as for Event Type 1. radiopharmaceutical or radiation by a route of adrrunistration other than that intended by the presenbang physician. (O) Admirustering a diagnostic dose An AO report should be proposed it: Not apphcable. of a radiopharmaceutical diffonng from the presenbed (a) the actual dose is greater than dose by more than 50 percent. five times the prescribed dose, or. (b) the event results in adverse health effects worse than expected for the normal range of exposures presenbed for the diagnostic procedure. (5) Admitustonng a therapeutic dose Not apphcable. of a radiopharmaceutical An AO report should be proposed if: diffonng from the prescribed dose by more than 10 percent; (a) the actual dose is greater than or adrrurustonng a therapeutic 1.5 times the presenbod dose, radiation dose from a seated 2'- source such that errors in the source celebration, time of (b) the actual dose is less than 0.5 exposure, and treatment times the presenbod dose.,g! geometry result in a calculated total treatment dose diffenng (c) the event results in adverse from the final prescribed total health effects worse then would treatment dose by more than 10 be expected for the normal range percent. of exposures presenbed for the therapeutic procedure, Sr. (d) the event (regardless of any health effects) affects two or more patients at the same facihty. t-N a A-6 02/07/95
Event Renortiner m=dhaak t Table A 1 (Continued)
~
A0 Reportino Threshold Event Tvoe Dimanostic end Thereceutie Exoosure (6) Recurring or series of events (regardless of the number of patients or f acilities involved.) For either diagnostic or therapeutic
- exposures, en AO report should be proposed for recurring events or e senes o' events (an which each individual misadrrunistration is not of major importance) that create e significant public (7) Genene events, health or safety concern.
For either diagnostic or therapeutic exposures, en AO report should be proposed for misedmirustrations with generic implications that create a significent public health or safety concern. L / O A-7 02/07/95
s Event Reportine Handbook GUIDELINES FOR ABNORMALOCCURRENCE WRITE-UPS All AO write-ups should be complete, up-to-date, ud written in the proper format in a level that is understandable to non-technical readers. Please do not use bold or italics in your writeup; use underline instead. Any special fonts will be added during the puMishing stage by the Technical Publications Specialist using the Kodak Emprint Electronic Publishing System. NOTE: Those Ar,reement States that already have INTERNET E-Mail capability may electronically send their AO information to OSP via Internet using Wordperfect. Convert the file to a " DOS text" file by using the " Text In/Out" function key in Wordperfect; add ".txt" as the file extension and attach it to your E-mail transmission. Marcin notation - Indicate the Original ID No., State ID-YR-ITEM NO. (XX-94-01). First paracraph - State the panicular AO criteria. Refer to the most recent report (NUREG-0090), Appendix A. Agreement State events shall identify the State and the date tne information was provided. Date and Place - Self explanatory Nature and Probable Consecuences - Summarize the event and explain why the event is important. State when you received notification from the licensee. Provide the specific details of the event, i.e., exposure (where applicable), source, indicate the specific isotope (s) (compound), quantity, dose (where applicable), treatment plan (where applicable), equipment, , manufacturer and Model No. Describe any immediate actions taken by the licensee or the State (confirmatory action letter, special inspection, enforcement conference, enforcement action (s), etc. The write-up should answer where, when, how, why, and efforts to prevent recurrence. For ocnipational, medical, or public overexposures identify whether the person was notified. For medical misadministrations, include the intended and actual treatment plan, identify any health effects. Mention if a medical consultant has been contracted to review the event. Include
- the consultant's conclusions and identify the effects on the patient. Never mention any health ';
effects on a patient without attributing the statement to tha, licensee or medical consultant. Indicate whether the physician was notified. NRC policy states that all documents must be published in dual units (Metric and English). i A-8 02/07/95
l 1 1 Event Resortine Handhook *
)
l i
,_ Cause or Causes - Self explanatory Action (s) taken by the licensee. NRC. or Agreement State to prevent recurrence - Provide the j licensee actions in addition to the State actions (Inspection reports, enforcement actions, civil i penalties, information notices, bulletins, etc.)
Describe the State agency action to emphasize the corrective actions taken that resulted in the ! i State closing out the item, i.e., was State satisfied with the licensee's corrective actions, if so, i please indicate that the " state was satisfied with the following corrective actions taken by the licensee ...." or "the licensee has complied with the corrective actions recommended by the State ! l as follows . . " Were there any enforcement actions, penalties, etc.9 I i I2st paracraph - Indicate the status by stating whether the AO is closed or remains open waiting ; additional significant information. An item should only be identified as open if the State expects additional significant action may take place that will be covered in a followup report. The followup report should be sent to NRC for inclusion as an update to the original AO write-up. l e f
/
A.9 02/07/95
Event Report n* e Handbook - SAMPLEINDUSTRIAL RADIOGRAPHY AO REPORT , State ID-Yr-No. (XX-94-01) Industrial radiography overexposure at (Name of facility, City, State) location. In accordance with the AO criteria an extremity exposure greater than 375 rem is considered an abnormal occurrence. l Date and Place: The Agency was notified on (notification date), by (Licensee), that a radiography overexposure had occurred on (event date), at (facility, location (City, State)). 1 Nature and Probable Conseaufges: On (event date), at I approximately 7:00 PM, a radiography trainer working for (Licensee) in (facility, location, (City, State)), experienced a SourcelGuantity source disconnect of a 96 cune iridium-192 radiography source, , that resulted in an extremity exposure of at least 500 rem to Erposure the thumb and index finger of a radiographer's left hand. The radiography trainer was radiographing welds on a 12 inch pipe line in a five foot deep ditch at (Licensee), and began experiencing difficulty with the source exiting from and retracting into the camera earlier in the day. After completing a radiograph, while trying to retract the source to the shielded position, survey meter readings indicated a source disconnect. The radiographer got a one inch thick lead sheet from the radiography truck and covered the source in the guide tube. By this time it was dark. The radiographer helper rope off a larger area and stayed a distance from the source. He then asked the (Licensee) inspector to notify the radiography company RSO, but to tell him that everything was under control, and that the radiographer could handle the situation. As the trainer disconnected the guide tube, the source assembly fell into the rnud at the bottom of a ditch. While picking up the source
+
assembly from the mud with channel lock pliers, the source slipped. He instinctively reached for and straightened the y source assembly (pigtail) with his hand, apparently touching the , source in the process. He placed the pigtail into the camera, intending to place the source capsule in first. He noticed the survey meter reading high, indicating the source was outside of the camera. The radiographer then removed the source from A-10 02/07/95 l l
ErtnGnaertian_ Handbook - the camera and placed it under the lod sheet. He then ' removed the lockbox from the camera, insened the source end i
,, of the pigtail, replaced the lockbox and locked it. The source ,
was now secured in the shielded position. The barricades were l taken down, the equipment was loaded on the truck, and the ! crew retumed to the office. The company did not notify the > Agency of the disconnect. t
- I About 10 days later, the radiographer started experiencing discomfon in his left thumb and index finger and visited a
doctor for treatment on March 9,1994, March 14, and April 1, ; 1994. On April 11,1994,the RSO and the radiographer visited ; the Agency office and reponed the incident. The Agency : investigated the incident at this time. The radiographer's film l badge reading was 1.% rem whole body. An inspection of the I camera was performed by the company RSO the day after the incident. The Licensee and the State Agency determined that i the company had ordered two model #22 pigtails and sources EquipmentlDevice from (Manufacturer, City, State), for the company's Gamma (Manuf.lModel No.) Century radiography cameras. (Manufacturer) inadvenently ent a model #22 and a Model #23 pigtail instead of the two model #22's ordered. The two models appear similar, but close examination reveal two differences. The model #22 is manufactured with 1/8 inch aircraft cable and . a 3/4 inch connector, the model #23 is manufactured with teleflex cable, the same as the drive cable material, and a one inch connector. The model #23 is not made to be used in the Gamma century camera. The radiography company assumed the two pigtails sent to them were model #22's. The #23 was mistakenly placed in the Gamma century camera and is apparently the cause of the disconnect. The Agency investigation determined that the trainer had received at least a 1500 rem exposure to the thumb and index finger of the left har.d. The (State) Radiation Control Program, in which th manufacturer was b licensed, was informed of the incident and investigated the
~
manufacturer's (Licensee) error in sending the two different pigtails to the radiography company. Cause or Causes - The manufacturer's mistaken delivery of a pigtail model number different than the one ordered and the radiography ' company's assumption that the pigtails they A-11 02/07/95
Event Re_sortine_ Hnadhook . received were the models they ordered, resulted in a pigtail , being used in a camera for which it was not manufactured. The disconnect resulted from the difference in the length of the
- connectors between the two models. Also, the radiographer attempted an unauthorized recovery of the disconnected sourte.
The radiographer was not trained in source recovery and hd. no previous experience with source disconnects. Actions Taken to Prevent Recurrence Licensee - Actions will be given at the enforcement conference. State Anencv- The Licensee and radiographer were cited for violations of the (State) Regulations for Control of Radiation. The Licensee was cited for the extremity exposure, unauthorized retrieval of a disconnected source, failure to immediately notify the Agency of the incident, and failure to notify the Agency in writing within thirty days of the incident. The radiographer was cited for unauthorized retrieval of a l disconnected source. The incident has been referred for escalated enforcement. j Status This file is (open\ closed) in (State). The event will remain open for additional information from the State of (State). 1. f A-12 02/07/95
i i Event Reportine Handbook _ l l ^
% SAMPLE MEDICAL AO REPORT ;
l i j
- Saare ID-YR-NO. Medical Brachytherapy Misadministration at (XX-94-02) (Name of facilitv. Citv. State) location.
Criteria In accordance with the AO criteria, administering a therapeutic dose that is greater than 1.5 times the prescribed dose should be considered an abnormal occurrence. I Date and Place - The Agency was notified on (Date), that a brachytherapy overexposure had occurred on (Event date(s)); at Facility; City and State location). Nature and Probable Consequences- A 68-year-old woman with Stage II vaginal cancer was referred to the hospital's radiation t Procedure therapy department for a gynecological brachytherapy } Source (s) procedure involving the afterloading of cesium 137 and iridium-l 192 sources. A plan was developed to deliver a total Treatment plan dose of 6000 centigray (cGy) (6000 rad) by a combination of DevicelEquipment 4000 cGy (4000 rad) from an external beam (linear accelerator) and 2000 cGy (2000 rad) from vaginal implant therapy. The , external beam therapy was completed on September 9,1993. I 2 The patient was then evaluated and plans were made to i complete the implantation portion of the treatment. The treatment plan for the implant therapy included calculations for the time required to deliver 6000 cGy (6000 rad). The dose already delivered by the external beam was not considered in j the plan. ! The attending physician reviewed the dose calculations on October 9, the fourth day of the implant, and determined that 4 the duration of the implant treatment was likely to have been
- too long. He immediately removed the implants. Calculations
' revealed that the patient received 4000 to 4500 cGy.(4000 to 4500 rad) from the brachytherapy treatment. Two days later, ][ j on Monday October 11, the attending physician verified with j the physics staff that his dose calculations were correct. The Actual vs. intended patient received a total dose of 8000-8500 cGy (8000-8500 rad), i
- A-13 02/07/95 2
v
Event Reportine Bandbook administmtion (4000 from external beam and 4000-4500 from the implant) *' rather than the 6000 cGy intended (4000 from external beam and 2000 from the implant). On October 11, the attending . physician in radiation oncology reviewed the radiation therapy - calculations and verified with staff the actual administered dose. A telephone report was made to the [ Identify State Health Department] on October 12,1993,and an on-site investigation i by State staff was conducted on October 14. A written report from the licensee was submitted to the State agency on October ! j 26. A committee of professionals convened to perform a , quality review. As a result of a literatur<. and standard practice review the committee concluded that the recommended treatment for Stage II vaginal carcinoma is generally in a range of 7000-7500 cGy (7000-7500 rad) total dose with an external dose of 4000-5000 cGy (4000-5000 rad) and delivery of the remaining dose by implant. Others have recommended up to a total dose of 8500 cGy (8500 rad). This patient while receiving more than her physician initially intended, did not Health effect receive a dose markedly beyond recommended treatment for 4 to patient her disease. The dose was within an acceptable range, therefore, it is not anticipated that any complications beyond those normally seen with treatment for this therapy will occur. However, the patient will be closely monitored for any complications and appropriate treatment willbe provided. The
- Patient patient had been notified of the event by the attending notyication physician on October 20. A letter confirming the discussion of the event was also sent to the patient.
Cause or Causes -The reportable event was caurud by a failure to account for the previously administered external beam ; therapy. The incident occurred due to lack of communication l I of the prior therapy during the planning of the brachytherapy treatment. T a A-14 02/07/95
Event Reportine Bandbook ' Actions Taken to Prevent Recurrence
- Licensee - As soon as the licensee's management determined that a reportable event had occurred, they formed a committee of professionals not involved in the patient's care to conduct a quality assurance review. The committee concluded that the incident occurred due to lack of communication of the prior therapy during .the planning of the brachytherapy treatment.
They recommended that no brachytherapy be given without a signed, written prescription by the attending physician. The written prescription must contain information about all radiation therapy given to the patient. The medical center has adopted the committee's recommendations and has initiated training to the affected staff. This action should prevent a recurrence of a similar event. State agency - The results of the on-site investigation by the State staff agrees with the findings of the licensee's quality assurance review. The licensee's proposal appears to be adequate to prevent recurrence. Status The State considers this item (open, closed). A-15 02/07/95
v
.w AS AO Report AS Event Report to OSP
__to NRC via NMED. I Agreement State I Screening for AOs d Agreement State
; bcensee Event .:
Report Moming Rpt., PNs Routine: Inspection a n
",gt Follow-up T q L . Enforcement .
Regional Notification via N Event Notification Sysmn (EN) AS Event Notification and Rec,onal i Dutv Officer g jL 30 Cay Wntten AS Voluntary Nottheation (where applicable) Notification to NRC Ooerations Center b ' h SIGNIFICANT N < Y , (Immediate/24 Notification) h[r. . r. 5 ' EVENT NOTIFICATION in AGREEMENT STATE Figure 3. Reporting Process for Agreement State (AS) incidents and Events. A-16
c, ,. .. 1 l
- r. 4.
OSP AND REGIONAL RESPONSE TO l AGREEMENT STATE SIGNIFICANT EVENTS ' l
- AGREEMENT STATE (AS) l SIGNIFICANT EVENT AS EVENT , EVENT i l
, r REPORT CLOSEOUT MEADOUARTERS
.- RE AL OFFER MRC N M MU M MNHAL ASSISTANCE 80 0 STAFF NOTE OR 800fW8. + A9880fuSAL -
ADenNISTRATOR RPT, AS APPROPRIATE l f OCCURA80CE (AOg o Regional Notification via OFFICE Event Notification System (EN) === DIRECTORSF ' YES YES and Reaional Duty Officer EDO f ' ' MSAO i RE& STATE AGREftfENT OFFICER (RSAO) = reviews HEa STATE uASON OrrtCER (RSLOp _ .A.o _
,y Q l DIV.OF RAD. SAFETY AfW SA,EUUARDS
{
' " S' " " "U " , . " " O.Ta= CO T OF SELECTED h
=T= =S == OS. EVE.S 1 , -
=~af A ,OR OS O,,,C, 0, DRAFT REPOft? I
> STATE PROOftAte h
(DSP) j - OSPneanSS h OPERATIONAL AECO DETERMINES REVIEW RIONTHLY F EVENT 5 AN AO l IEEEnffG WICLUDES AGREEaIEfff STATE ABNORRIAL 1 r OCCUfWIEf0CES = ' WAMEM N REVIEW SELECTED II EVENTS DURING l PROGRAM REVIEW
~
5
i a AGREEMENT STATE PROGRAM e r 4 MT
$ MN SD WI g ID wy gg .
5 G PA IN og E 3 . MO i
> VA g OK I AK
,o ~
- e.
HI ,. X 29 AGREEMENT STATES I E 21 NON-AGREEMENT STATES 6/5/92 ' i i
. . , 4- <
L. . b COMMISSION NOTICES REGULATORY GUIDE SERIES DIVISION 1 - POWER REACTORS ACTIVE REGULATORY GUIDES Guide Published Number Title Rev. Month / Year Net Positive Suction Head for Ernergency Core Cooling and Containment Heat - 11/70 1.1 Removal System Pumps (Safety Guide 1) 1.2 (Withdrawn-See 56 FR 36175,7/31/91) - Assumptions Used for Evaluating the Potential Radiological Consequences of a - 11/70 1.3 Loss of Coolant Accident for Boiling Water Reactors 1 06/73 2 06/74 t 1.4 Assumptions Used for Evaluating the Potential Radiological Consequences of a
- 11/70 Loss of Coolant Accident for Pressurized Water Reactors 1 06/73 2 06/74 4
Assumptions Used for Evaluating the Potential Radiological Cor.vquences of a - 03/71 - 1.5 i Steam Line Break Accident for Boiling Water Reactors (Safety Guide 5) Independence Between Redundant Standby (Onsite) Power Sources and
- 03/71 1.6 ,
4 Between Their Distribution Systems (Safety Guide 6) l Control of Combustible Gas Concentrations in Containment Following a Loss- - 03/71 1 1.7 l of Coolant Accident 1 09/76 2 11/78
]
03/71 ! 1.8 Qualification and Training of Personnel for Nuclear Power Plants (Draft RS - 807-5 Proposed Revision 2, published 2/79; Draft RS 807-5 Second 1 09/75 Proposed Revision 2, published 9/80; Draft OL 403-5 Third Proposed 1-R 05/77 Revision 2, published 1/85) 2 04/87 ! Selection Design, and Qualification of Diesel-Generator Units Used as
- 03/71 !
1.9 Standby (Onsite) Electric Power Systems at Nuclear Power Plants (Draft 1 11/78 ! RS 802-5, Proposed Revision 3, published 11/88) 2 12/79 3 08/93 1.10 (Withdrawn-See 46 FR 37579, 7/21/81) Instrument Lines Penetrating Primary Reactor Containment (Safety Guide 11) - 03/71 1.11 02/72 Supplement to Safety Guide 11 Backfitting Considerations ? Instrumentation for Earthqaakes (Draft MS 140-5, Proposed Revision 2 - 03/71 1.12 1 04/74 published 7/61)
- 03/71 1.13 Spent Fuel Storage Facility Design Basis (for Comment) (Draft CE 913-5.
1 12/75 Proposed Revision 2 published 12/81) Reactor Coolant Pump Flywheel Integrity (for Comment)
- 10/71 1.14 1 08/75 RG-1 September 29,1995
. _ ~_ _ _ _ _ . .. _ - __ __ . . _ _ . . . _ __ _ _ _ _ _ _ - _ _ - . - . _ _ .
e f Guide Number Published Title Rev. Month / Year i 1.15 (Withdrawn-See 46 FR 37579, 7/21/81) - - 1.16 Reporting of Operating Information-Appendix A Technical Specifications (for Comment) 10/71 1 10/73 2 09/74 3 01/75 4 08/75 1.17 (Withdrawn-See 56 FR 30777, 7/5/91) - - 1.18 (Withdrawn-See 46 FR 37579, 7/21/81) - - 1.19 (Withdrawn-See 46 FR 37579, 7/21/81) i 1.20 Comprehensive Vibration Assessment Program for Reactor Internals During - 12/71 Preoperational and initial Startup Testing 1 06/75 2 05/76 1.21 Measuring, Evaluating, and Reporting Radioactivity in Solid Wastes and - 12/71 Releases of Radioactive Materials in Liquid and Gaseous Effluents from Light-Water-Cooled Nuclear Power Plants 1 06/74 1.22 Periodic Testing of Protection System Actuation Functions (Safety Guide 22) - 02/72 1.23 Onsite Meteorological Programs (Safety Guide 23) (Draft SS 926-4, Proposed - 02/72 Revision 1, published 9/80) (Draft ES 926-4. Second Proposed Revision 1, published 4/86) 1.24 Assumptions Used for Evaluating the Potential Radiological Consequences of a - 03/72 Pressurized Water Reactor Radioactive Gas Storage Tank Failure (Safety Guide 24) i 1.25 Assumptions Used for Evaluating the Potential Radiological Consequences of a - 03/72 Fuel Handling Accident in the Fuel Handling and Storage Facility for Boiling and Pressurized Water Reactors (Safety Guide 25) 1.26 Quality Group Classifications and Standards for Water , Steam , and - 03/72 Radioactive-Waste-Containing Components of Nuclear Power Plants 1 09/74 (for Comment) 2 06/75 3 02/76 1.27 Ultimate Heat Smk for Nuclear Power Plants (for Comment) - 03/72 1 03/74 2 01/76 1.28 Quality Assurance ProEram Requirements (Design and Construction) (Draft - 06/72 RS 002-5, Proposed Revision 3, published 3/81) 1 ~03/78 2 02/79 3 08/85 1.29 Seismic Design Classification - 06/72 1 08/73 2 02/76 3 09/78 1.30 Quality Assurance Requirementt for the Installation. Inspection. and Testing of - 08/72 Instrumentation and Electric Equipment (Safety Guide 30) i Septembe? 29,1995 RG-2
6 i Guide Published Number Title Rev. Month / Year 1.31 Control of Ferrite Content in Stainless Steel Weld Metal - 08/72 1 06/73 2 05/77 3 04/78 1.32 Criteria for Safety Related Electric Power Systems for Nuclear Power Plants - 08/72 1 03/76 2 02/77 1.33 Quality Assurance Program Requirements (Operation) (Draft RS 902-4, - 11/72 Proposed Revision 3, published 8/79) (Draft RS 902-4, Second Proposed 1 02/77 Revision 3, published 11/80) 2 02/78 1.34 Control of Electroslag Weld Properties - 12/72 1.35 Inservice Inspection of Ungrouted Tendons in Prestressed Concrete Containment - 02/73 Structures (Draft SC 810-4, Proposed Revision 3, published 4/79) 1 06/74 2 01/76 3 08/90 1.35.1 Determining Prestressing Forces for Inspection of Prestressed Concrete - 08/90 Containments 1.36 Nonmetallic Thermal Insulation for Austenitic Stainless Steel - 02/73 1.37 Quality Assurance Requirements for Cleaning of Fluid Systems and Associated - 03/73 Components of Water-Cooled Nuclear Power Plants 1.38 Quality Assurance Requirements for Packaging, Shipping. Receiving. Storage, - 03/73 and Handling of items for Water Cooled Nuclear Power Plants 1 10/76 2 05/77 1.39 Housekeeping Requirements for Water-Cooled Nuclear Power Plants - 03/73 1 10/76 2 09/77 1.40 Qualification Tests of Continuous-Duty Motors Installed Inside the Containment - 03/73 of Water-Cooled Nuclear Power Plants 1.41 Preoperational Testing of Redundant On-Site Electric Power Systems To Verify - J 3 /, Proper Load Group Assignments l 1.42 (Withdrawn-See 41 FR 11891, 3/22/76) - - 1.43 Control of Stainless Steel Weld Cladding of Low-Alloy Steel Components - 05/73 1.44 Control of the Use of Sensitized Stainless Steel - 05/73 1.45 Reactor Coolant Pressure Boundary Leakage Detection Systems - 05/73 1.46 (Withdrawn-See 50 FR 9732,3/11/85) - - 1.47 Bypassed and Inoperable Status Indication for Nuclear Power Plant Safety - 05/73 Systems 1.48 (Withdrawn-See 50 FR 9732. 3/11/85) - - 1.49 Power Levels of Nuclear Power Plants - 05/73 1 12/73 RG-3 September 29,1995
_ _ _ _ . _ . _ - . _. . . - _ . . _ _ . . _ _ _ _ _ _ . - . _ . _. __ . _ m_ Q;
- Gulde Number Published Title Rev. Month / Year 1.50 Control of Preheat Temperature for Welding of Low-Alloy Steel -
05/73 1.51 (Withdrawn-See 40 FR 30510, 7/21/75) - - 1.52 Design, Testing, and Maintenance Criteria for Postaccident Engineered-Safety- - 06/73 Feature Atmosphere Cleanup System Air Filtration and Adsorption Units of 1 07/76 Light Water-Cooled Nuclear Power Plants 2 03/78 1.53 Application of the Single-Failure Criterion to Nuclear Power Plant Protection - 06/73 Systems 1.54 Quality Assurance Requirements for Protective Coatings Applied to Water-Cooled - 06/73 Nuclear Power Plants 1.55 (Withdrawn-See 46 FR 37579, 7/21/81) - - 1.56 Maintenance of Water Purity in Boiling Water Reactors (for Comment) - 06/73 1 07/78 1.57 Design Limits and Loading Combinations for Metal Primary Reactor - 06/73 Containment System Components 1.58 (Withdrawn-See 56 FR 36175, 7/31/91) - - 1.59 Design Basis Floods for Nuclear Power Plants (Errata published 7/30/80) - 08/73 1 04/76 2 08/77 1.60 Design Response Spectra for Seismic Design of Nuclear Power Plants - 10/73 1 12/73 1.61 Damping Values for Seismic Design of Nuclear Power Plants - 10/73 1.62 Manual Initiation of Protective Actions - 10/73 1.63 Electric Penetration Assemblies in Containment Structures for Nuclear Power - 10/73 Plants (Draft EE 405-4, Proposed Revision 3, published 6/86) 1 05/77 2 07/78 3 02/87 1.64 (Withdrawn-See 56 FR 36175,7/31/91) - - 1.65 Materials and Inspections for Reactor Vessel Closure Studs - 10/73 1.66 (Withdrawn-See 42 FR 54478,10/6/77) - - 1.67 (Withdrawn-See 48 FR 19101,4/27/83) - - 1.68 Initial Test Programs for Water-Cooled Nuclear Power Plants - 11/73 1 01/77 2 08/78 1.68.1 Preoperational and Initial Startup Testing of Feedwater and Condensate - 12/75 Systems for Boiling Water Reactor Power Plants 1 01/77 September 29,1995 RG-4
1 o Guide Published Number Title Rev. Month / Year 1.68.2 Initial Startup Test Program To Demonstrate Remote Shutdown - 01/77 , Capability for Water-Cooled Nuclear Power Plants 1 07/78 l 1.68.3 Preoperational Testing of Instrument and Control Air Systems (Draft - 04/82 RS 709-4 a proposed revision to Regulatory Guide 1.80, published 10/80) 1.69 Concrete Radiation Shields for Nuclear Power Plants - 12/73 1.70 Standard Format and Content of Safety Analysis Reports for Nuclear Power - 02/72 Plants (LWR Edition) 1 10/72 2 09/75 3 11/78 1.71 Welder Qualification for Areas of Limited Accessibility - 12/73 1.72 Spray Pond Piping Made from Fiberglass-Reinforced Thermosetting Resin - 12/73 1 01/78 2 11/78 1.73 Qualification Tests of Electric Valve Operators I1 stalled Inside the Containment - 01/74 of Nuclear Power Plants 1.75 Physical Independence of Electric Systems - 02/74 1 01/75 2 09/78 1.76 Design Basis Tornado for Nuclear Power Plants - 04/74 1.77 Assumptions Used for Evaluating a Control Rod Ejection Accident for - 05/74 Pressurized Water Reactors 1.78 Assumptions for Evaluating the Habitability of a Nuclear Power Plant Control - 06/74 Room During a Postulated Hazardous Chemical Release 1.79 Preoperational Testing of Emergency Core Cooling Systems for Pressurized - 06/74 Water Reactors 1 09/75 l 1.80 (Withdrawn-See 47 FR 19258, 5/4/82) Reissued as Regulatory Guide 1.68.3, - - a renumbered revision to this guide with an expanded scope that addresses control air systems. 1.81 Shared Emergency and Shutdown Electric Systems for Multi-Unit Nuclear Power - 06/74 Plants 1 01/75 Water Sources for Long-Term Recirculation Cooling Following a Loss-of-Coolant 06/74
>1.82 Accident (Draft MS 203-4, Proposed Revision 1. published 5/83) 1 11/85 2 05/96 1.83 Inservice Inspection of Pressurized Water Reactor Steam Generator Tbbes - 06/74 ,
07/75 ) 1 1.84 Design and Fabrication Code Case Acceptability-ASME Section 111, Division 1 l Because this guide is frequently revised, only the current revision and date are listeo in the appropriate columns. Previous revisions and their publication dates follow: 0, 6/74; 1, 4/75; 2. 6/75; 3, 9/75; 4, 11/75; 5, 2/76; 6, 5/76; 7. 8/76; 8,11/76; 9, 3/77; 10, B/77; 11,11/77; 12, 3/78; 13, 7/78; 14,11/78; 15, 5/79; i 16, S/80; 17, 12/80; 18, 8/81; 19, 4/82; 20, 11/82; 21, 9/83; 22, 7/84; 23, 9/85; 24, 6/86; 25, 5/88; 26, 07/89; 27, 11/90: 28, 04/92; 29, 07/93. 30 11/94 RG-5 May 31,1996
_- _ _ _ . _ . _ . __ .. .. _ _ _ _ _ . _ . _ . _ . _ _ _ _ _ . _ _ _ _ _ _ _. _ _ . . . . ~ c Guide Number Published Title Rev. Month / Year 1.85 Materials Code Case Acceptability-ASME Section III, Division 1 Because this guide is frequently revised, only the current revision and date are ' listed in the appropriate columns. Previous revisions and their publication dates follow: 0, 6/74; 1, 4/75; 2, 6/75; 3, 9/75; 4, 11/75; 5, 2/76; 6, 5/76; 7, 8/76; 8, 11/76; 9, 3/77; 10, 8/77; 11, 11/77; 12, 3/78; 13, 7/78; 14, 11/78; 15, 5/79; 16, 5/80; 17, 12/80; 18, 8/81; 19, 4/82; 20, 11/82; 21, 9/83; 22, 7/84; 23, 9/85; 24, 6/86; 25, 5/88; 26, 07/89; 27, 11/90: 28, 04/92; 29, 07/93. 30 11/94 1.86 Termination of Operatmg Licenses for Nuclear Reactors - 06/74 1.87 Guidance for Construction of Class 1 Components in Elevated Temperature - 06/74 Reactors (Supplement to ASME Section Ill Code Cases 1592, 1593, 1594, 1595, 1 06/75 and 1596) 1.88 (Withdrawn-See 56 FR 36175, 7/31/91) - - 1.89 Environmental Qualification of Certain Electric Equipment Important to Safety - 11/74 for Nuclear Power Plants (Draft EE 042-2, Proposed Revision 1, published 2/82) 1 06/84 1.90 Inservice Inspection of Prestressed Concrete Containment Structures with - 11/74 Grouted Tendons 1 08/77 1.91 Evaluations of Explosions Postulated To Occur on Transportation Routes Near - 01/75 Nuclear Power Plants 1 02/78 1.92 Combining Modal Responses and Spatial Components in Seismic Response 12/74 Analysis 1 02/76 1.93 Availability of Electric Power Sources - 12/74 1.94 Quality Assurance Requirements for Installation, Inspection, and Testing of - 04/75 Structural Concrete and Structural Steel During the Construction Phase of 1 04/76 Nuclear Power Plants (Draft RS 908-5, Proposed Revision 2, published 9/79) 1,95 Protection of Nuclear Power Plant Control Room Operators Against an ' 02/75 Accidental Chlorine Release 1 01/77 ' 1.96 Design of Main Steam Isolation Valve Leakage Control Systems for Boiling - 05/75 Water Reactor Nuclear Power Plants 1 06/76 1 1.97 Instrumentation for Light-Water-Cooled Nuclear Power Plants To Assess Plant - 12/75 I and Environs Conditions During and Following an Accident (Errata published 1 08/77 7/81) (Draft RS 917-4, Proposed Revision 2, published 12/79) 2 12/80 3 05/83 i l 1.98 Assumptions Used for Evaluating the Potential Radiological Consequences of a - 03/76 Radioactive Offgas System Failure in a Boiling Water Reactor (for Comment) 1.99 Radiation Embrittlement of Reactor Vessel Materials (Draft ME 305-4, - 07/75 Proposed Revision 2, published 2/86) 1 04/77 2 05/88 1.100 Seismic Qualification of Electric and Mechanical Equipment for Nuclear Power - 03/76 Plants (Draft EE 108-5. Proposed Revision 2, published 8/87) 1 08/77 2 06/88 September 29,1995 RG-6
( Guide Published Number Title Rev. Month / Year 1.101 Emergency Planning and Preparedness for Nuclear Power Reactors (Revision 1 3 08/92 to this guide entitled " Emergency Planning for Nuclear Power Plants" was withdrawn-see 45 FR 69610,10/21/80) (Draft DG-1022 Proposed Revision 3, published 2/92) 11/75; 1, 03/77; 2, 10/81. l 1,102 Flood Protection for Nuclear Power Plants - 10/75 ! 1 09/76 1.103 (Withdrawn-See 46 FR 37579, 7/21/81) - - i 1.104 (Withdrawn-See 44 FR 49321, 8/22/79) See NUREG-0554, " Single-Failure- - - Proof Cranes for Nuclear Power Plants." 1.105 Instrument Setpoints for Safety Related Systems (Draft IC 010-5. Proposed - 11/75 Revision 2, published 12/81) 1 11/76 ; 2 02/86 l l 1.106 Thermal Overload Protection for Electric Motors on Motor-Operated Valves - 11/75 ) 1 03/77 l I 1.107 Qualifications for Cement Grouting for Prestressing Tendons in Containment - 11/75 l Structures 1 02/77 1.108 (Withdrawn - See 58 FR 41813, 8/5/93) 1.109 Calculation of Annual Doses to Man from Routine Releases of Reactor Effluents - 03/76 for the Purpose of Evaluating Compliance with 10 CFR Part 50, Appendix 1 1 10/77 1.110 Cost Benefit Analysis for Radwaste Systems for Light Water-Cooled Nuclear - 03/76 Power Reactors (for Comment) 1.111 Methods for Estimating Atmospheric Transport and Dispersion of Gaseous - 03/76 l Effluents in Routine Releases from Light Water-Cooled Reactors 1 07/77 l 1.112 Calculation of Releases of Radioactive Materials in Gaseous and Liquid - 04/76 Effluents from Light-Water-Cooled Power Reactors O-R 05/77 1.113 Estimating Aquatic Dispersion of Effluents from Accidental and Routine - 05/76 Reactor Releases for the Purpose of Implementing Appendix I 1 04/77 1.114 Guidance to Operators at the Controls and to Senior Operators in the Control - 02/76 Room of a Nuclear Power Unit (Draft HF 601-4, Proposed Revision 2, 1 11/76 published 12/86) 2 05/89 1.115 Protection Against Low-Trajectory Turbine Missiles - 03/76 1 07/77 1.116 Ouality Assurance Requirements for Installation, inspection, and Testing of - 06/76 Mechanical Equipment and Systems O-R 05/77 1.117 Tornado Design Classification - 06/76 1 04/78 1.116 Periodic Testing of Electric Power and Protection Systems - 06/76 1 11/77 2 06/78 3 04/95 RG-7 September 29,1995
. - .- .-.- - . _ - - . - - . _ . - . _ ~ . - - - . . . _ . - .- - - - - . _ . - ,
e Guide Number Published Title Rev. Month / Year 1.119 (Withdrawn-See 42 FR 33387, 6/30/77) - - 1.120 Fire Protection Guidelines for Nuclear Power Plants (for Comment) - 06/76 1 11/77 1.121. Bases for Plugging Degraded PWR Steam Generator Tubes (for Comment) - 08/76 1.122 Development of Floor Design Response Spectra for Seismic Design of Floor- - 09/76 Supported Equipment or Components 1 02/78 1.123 (Withdrawn-See 56 FR 36175, 7/31/91) - - 1.124 Service Limits and Loading Combinations for Class 1 Linear-Type Component - 11/76 Supports 1 01/78 1.125 Physical Models for Design and Operation of Hydraulic Structures and Systems - 03/77 for Nuclear Power Plants 1 10/78 i 1.126 An Acceptable Model and Related Statistical Methods for the Analysis of Fuel - 03/77 Densification 1 03/78 1.127 Inspection of Water-Control Structures Associated with Nuclear Power Plants - 04/77 1 03/78 1.128 Installation Design and Installation of Large Lead Storage Batteries for Nuclear - 04/77 Power Plants 1 10/78 i 1.129 Maintenance, Testing, and Replacement of Large Lead Storage Batteries for - 04/77 Nuclear Power Plants 1 02/78 1.130 Service Limits and Leading Combinations for Class 1 Plate-and-Shell-Type - 07/77 Component Supports 1 10/78 1.131 Qualification Tests of Electric Cables, Field Splices, and Connections for - 08/77 Light Water-Cooled Nuclear Power Plants (for Comment) (Draft RS 050-2, 1 Proposed Revision 1, published 8/79) ' 1.132 Site Investigations for Foundations of Nuclear Power Plants - 09/77 1 03/79 1.133 Loose-Part Detection Program for the Primary Systen, ;I Light-Water-Cc,oled - 09/77 Reactors 1 05/81 1.134 Medical Evaluation of Licensed Personnel for Nuclear Power Plants (Draft - 09/77 OL 401-5 Proposed Revision 2, published 11/84) 1 03/79 2 04/87 1,135 Normal Water Level and Discharge at Nuclear Power Plants (for Comment) - 09/77 1 1.136 Materials, Construction, and Testing of Concrete Containments (Articles - 11/77 i CC-1000. -2000, and -4000 through -6000 of the " Code for Concrete 1 10/7.8 Reactor Vessels and Containments") (Draft SC 814-5, Proposed Revision 2, 2 06/81 published 11/79) 1.137 Fuel-Oil Systems for Standby Diesel Generators - 01/78 1 10/79 September 29,1995 RG-4
. l Published Guide Rev. Month / Year Number Title
- 04/78 i 1.138 Laboratory Investigations of Soils for Engineering Analysis and Design of Nuclear Power Plants (for Comment)
- 05/78 1.139 Guidance for Residual Heat Removal (for Comment)
- 03/78 1.140 Design. Testing, and Maintenance Criteria for Normal Ventilation Exhaust 10/79 1
System Air Filtration and Adsorption Units of Light-Water-Cooled Nuclear Power Plants
- 04/78 1.141 Containment Isolation Provisions for Fluid Systems (for Comment)
- 04/78 1.142 Safety Related Concrete Structures for Nuclear Power Plants (Other than 10/81 1
Rer. tor Vessels and Containments)
- 07/78 1.143 "Jesign Guidance for Radioactive Waste Management Systems, Structures, and 10/79 1
Components Installed in Light Water-Cooled Nuclear Power Plants 1.144 (Withdrawn-See 56 FR 36175,7/31/91)
- 08/79 1,145 Atmospheric Dispersion Models for Potential Accident Consequence 1 11/82 Assessments at Nuclear Power Plants (Reissued 2/83 to correct page 1.145-7) 1.146 (Withdrawn-See 56 FR 36175, 7/31/91) 1.147 Inservice inspection Code Case Acceptability-ASME Section XI, Division 1 (Draft SC 721-4 published 8/79) 0, 02/81; 1, 02/82; 2, 06/83; 3, 07/84; 11 11/94 l 4, 09/85; 5, 08/86; 6, 05/88; 7. 07/89; 8, 11/90; 9, 05/92; 10 08/93. ,
- 03/81 j 1.148 Functional Specification for Active Valve Assemblies in Systems important to ;
Safety in Nuclear Power Plants (Draft SC 704-5 published 2/79) i
- 04/81 l 1.149 Nuclear Power Plant Simulation Facilities for Use in Operator License 04/87 1
Examinations (Draft RS 110-5 published 7/80) (Draft OL 402-5, Proposed 04/96 2 Revision 1, published 11/84)
- 06/81 1.150 Ultrasonic Testing of Reactor Vessel Welds During Presenice and Inservice 02/83 1
Examinations (Draft SC 705-4 published 5/79)
- 07/83 1.151 Instrument Sensing Lines (Draft IC 126-5 published 3/82) 1 1/96 1.152 Criteria for Programmable Digital Computer System Software in Safety-Related Systems of Nuclear Power Plants (Draft IC 127-5 published 3/83), 0, 11/85
- 12/85
)>1.153 Criteria for Power, instrumentation, and Control Portions of Safet) Systems 1 07/96 (Draft IC 609-5 published'12/82) 01/87 Format and Content of Plant-Specific Pressurized Thermal Shock Safety 1.154 Analysis Reports for Pressarized Water Reactors (Draft SI 502-4 published 1/86)
RG 9 July 31,1996
Guide ! Number Title Published Rev. Month / Year 1.155 Station Blackout (Draft SI 501-4 published 3/86) (Issued June 1988, reissued - 08/88 August 1988 with corrected tables) 1.156 Environmental Qualification of Connection Assemblies for Nuclear Power Phna (Draft EE 404-4 published S/87) 11/87 1.157 Best Estimate Calculations of Emergency Core Cooling System Performance (Draft RS 701-4 published 3/87) 05/89 i 8.158 Qualification of Safety-Related Lead Storage Batteries for Nuclear Power Plants - 02/89 (Draft EE 006-5 published 8/87) 1.159 Assuring the Availability of Funds for Decommissioning Nuclear Reactors - 09/90 1.160 Monitoring the Effectiveness of Maintenance at Nuclear Power Plants - 06/93 1 01/95 1.161 Evaluation of Reactor Pressure Vessels with Charpy Upper-Shelf Energy Less than - 07/95 50 Ft-lb
> 1.162 Format and Content of Report for Thermal Annealing of Reactor Pressure Vessels -
03/96 1.163 Performance-Based Containment Leakage-Test Program - 10/95 l l l I l l l l l l l RAarch 29,1996 RG 10
%-- +e,-- - r- - -- -- - v er m -n- - -
DIVISION 1 i ,- DRAFT REGULATORY GUIDES Task Published l Number Title Month / Year CE 913-5 (Proposed Revision 2 to Regulatory Guide 1.13) Spent Fuel Storage Facility 12/81 Design Basis 4 DG-0008 Applications for the Use of Scaled Sources in Ponable Gauging Devices 07/95 DG-1001 Maintenance Programs for Nuclear Power Plants 08/69 l DG-1003 Assuring the Availabihty of Funds for Decommissioning Nuclear Reactors 05/59 DG-1005 Standard Format and Content for Decommissioning Plans for Nuclear Reactors - DG-1006 Records Important for Decommissioning of Nuclear Reactors -
- . i DG-1008 Reactor Coolant Pump Seals 05/91 l
DG-1009 Standard Format and Content of Technical Information for Applications to Resiew Nuclear Power Plant Operaung Licenses (Superseded by DG-1047) 12/90 i DG-1010 Quality Assurance Program Requirements (Proposed Revision 4 to 12/92
- Regulatory Guide 1.28) l > DG-1012 Qualification and Training of Personnel for Nuclear Power Plants (Proposed 10/96 i Revision 3 to Regulatory Guide 1.8) 1 DG-1015 Identification and Characterization of Seismic Sources, Deterministic Source 11/92
, Eanhquakes, and Ground Motion
~
) DG-1016 Nuclear Power Plant Instrumentation for Earthquakes (Proposed Revision 2 to 11/92 Regulatory Guide 1.12) DG-1017 Pre Eanhquake Planning and immediate Nuclear Power Plant Operator 11/92 Postcarthquake Actions i DG-1018 Restart of a Nuclear Power Plant Shut Down by a Seismic Event 11/92 DG-1020 Monitoring the Effectiveness of Maintenance at Nuclear Power Plants
- 11/92 DG-1021 Selection, Design. Qualification. Testing, and Reliabihty of Emergency Diesel 04/92 Generator Units Used as Class 1E Onsite Electric Power Systems at Nuclear Power Plants (Second Proposed Revision 3 to Regulatory Guide 1.9)
DG-1022 Emergency Planning and Preparedness for Nuclear Power Reactors 03/92 DG-1025 Calculational and Dosimetry Methods for Determining Pressure Vessel Fluence 10/93 DG-1027 Format and Content of Application for Approval for Thermal Annealing of 11/94 Reactor Pressure Vessels DG-1028 Periodic Testing of Electric Power and Protection Systems (Proposed Revision 3 to Regulatory Guide 1.118) 09/94 DG-1031 Monitoring the Effectiveness of Maintenance at Nuclear Power Plants 06/94 DG-1033 Nuclear Power Plant Instrumentation for Eanhquakes (Third Proposed 02/95 Revision 2 to Regulatory Guide 1.12) DG-1034 Pre-Eanhquake Planning and immediate Nuclear Power Plant Operator 02/95 Posteanhquake Actions DG-1035 Restart of Nuclear Power Plant Shut Down by a Seismic Event 02/95 RG-11 October 31,1996
Task Number Published . Title Month / Year DG-1035 Water Sources for Long-Term Recirculation Cooling Following a Loss-of-Coolant Accident 07/95 DG-1039 Cnteria for Digital Computers in Safety Systems of Nuclear Power Plants 07/95 (proposed rension 1 to Rcgulatory Guide 1.152) DG-1040 Tune Response Design Crteria for Safety-Related Operator (Superseded by 07/95 DG-1052) DG-1042 Cnteria for Safety Systems (Proposed Rension 1 to Regulatory Guide 1.153) 11/95 DG-1043 Nuclear Power Plant Simulation Facilities for Use m Operator License (Reeien 2 to 06/95 Regulaton Gwde 1.149) DG-1045 Setpoints for Safety Related Instrumentation (Proposed Revision 3 to 10/96 Regulatory Guide 1.105) DG-1046 Gmdelmes for Reporting Rehability and Availability Information for Risk-Significant 05/96 Systems and Equipment in Nuclear Power Plants DG-1047 Standard Format and Content for Applications to Renew Nuclear Power Plant 08/96 Operaung Licenses (Supersedes DG-1009) DG-1051 Monitonng the Effectiveness of Maintenance at Nuclear Power Plants 09/96 (Rension 2 to Regulatory Guide 1.160) > DG-1052 Time Response Design Criteria for Safety-Related Operator Actions 11/96 (Supersedes DG-1040) DG-1054 Venfication, Validation, Reviews, and Audits for Digital Computer 09/96 Software Used in Safety Systems of Nuclear Power Plants DG-1055 Configuranon Management Plans for Digital Computer Software 09/96 Used in Safety Systems of Nuclear Power Plants DG-1056 Software Test Documentation for Digital Computer Software 09/96 Used in Safety Systems of Nuclear Power Plants DG-1057 Software Unit Testing for Digital Computer Software Used 09/96 in Safety Systems of Nuclear Power Plants DG-1058 Software Requirements Specifications for Digital Computer 09/96 Software Used in Safety Systems of Nuclear Power Plants DG-1059 Developing Software Life Cycle Processes for Digital Computer 09/96 Software Used in Safety Systems of Nuclear Power Plants DG-1932 Identification and Characterization of Seismic Sources and Determir.ation 02/95 of Safe Shutdown Earthquake Ground motion EM 805-5 Nuclear Analysis and Design of Concrete Radiation Shielding for Nuclear Power 02/79 Plants ES 926-4 (Second Proposed Revision 1 to Regulatory Guide 1.23) Meteorological Measurement 04/86 Program for Nuclear Power Plants FP S11-4 Safety Related Permanent Dewatering Systems for Nuclear Power Plants 09/79 IC 121-5 Response-Time Testing of Protection System Instrument Channels 01/82 IC 131-5 Installation of Transducers 03/82 MS 021-5 Containment System Leakage Testing 10/86 MS 140-5 (Proposed Revision 2 to Regulatory Guide 1.12) Nuclear Power Plant instrumentation 07/81 for Earthquakes November 29,1996 RG-12 _:_ g
.- . ~.- - . - . - . . . - . . . . _. . . . - . - . ..-.- - __-.- - ._-
l t I Task Published Number Title Month / Year RS 705-4 Lightning Protection for Nuclear Power Plants 08/79 RS 802-5 (Propused Revision 3 to Regulatory Guide 1.9) Selection. Design, Qualification, 11/88 Testing, and Reliability of Diesel Generator Units Used as Onsite Electric Power Systems at Nuclear Power Plants RS 809-5 Qualification Test for Cable Penetration Fire Stops for Use in Nuclear Power Plants 07/79 j RS 902-4 (Second Proposed Revision 3 to Regulatory Guide 1.33) Quality Assurance Program 11/80 Requirements (Operation) RS 908-5 (Proposed Revision 2 to Regulatory Guide 1.94) Quality Assurance Requirements 09/79 for Installation, Inspection, and Testing of Structural Concrete. Structural Steel, l Soils, and Foundations During the Construction Phase of Nuclear Power Plants SC 521-4 LWR Core Reloads; Guidance on Applications for Amendments to Operating 09/79 3 Licenses and on Refueling and Startup Tests SC 708-4 (Withdrawn-See 54 FR 16030,4/20/89) - J SC 807-4 (Proposed Regulatory Guide 1.35.1) Determining Prestressing Forces for Inspection 04/79 of Prestressed Concrete Containments SC 810-4 (Proposed Revision 3 to Regulatory Guide 1.35) Inservice Inspection of Ungrouted 04/79 Tendons in Prestressed Concrete Containments l l l l l I l l t 1 I i i l ,_ _. _ . RG-13 September 30,1996 (reset)
i l l l \ REGULATORY GUIDE SERIES DIVISION 2 - RESEARCH AND TEST REACTORS ACTIVE REGULATORY GUIDES Guide Published l Number Title Rev. Month / Year 2.1 Shield Test Program for Evaluation of Installed Biological ShieldMg in Research - 05/73 and Training Reactors 2.2 Development of Technical Specifications for Experiments in Research Reactors - 11/73 2.3 Quality Verification for Plate-Type Uranium Aluminum Fuel Elements for Use - 09/75 in Research Reactors 1 07/76 2.4 Review of Experiments for Research Reactors - 07/76 O-R 05/77 2.5 Quality Assurance Program Requirements for Research Reactors - 05/77 O-R 10/77 2.6 Emergency Planning for Research and Test Reactors (Draft HF 201-4, Proposed - 01/79 Revision 1, published 3/82) 1 03/83 1 I i l l l i August 30,1996 (reset) RG-14 !
4 REGULATORY GUIDE SERIES DIVISION 3 - FUELS AND MATERIALS FACILITIES ACTIVE REGULATORY GUIDES Guide Published Number Title Rev. Month / Year 3.1 Use of Borosilicate-Glass Raschig Rings as a Neutron Absorber in Solutions of - 01/73 Fissile Material (Draft FP 027-5 Proposed Revision 1, published 5/81) (Draft 1 01/82 CE 602-4, Proposed Revision 2, published 3/87) 2 09/87 3.2 Efficiency Testing of Air Cleaning Systems Containing Devices for Removal of - 01/73 Particles j 3.3 Quality Assurance Program Requirements for Fuel Reprocessing Plants and for - 01/73 Plutonium Processing and Fuel Fabrication Plants 1 03/74 I 3.4 Nuclear Criticality Safety in Operations with Fissionable Materials at Fuels and - 01/73 Materials Facilities (Draft CE 404-4, Proposed Revision 2, published 4/85) 1 08/77 l 1-R 02/78
- 2 03/86 I
3.5 Standard Format and Content of License Applications for Uranium Mills (for - 02/73 Comment) (Draft WM 039-4, Proposed Revision 2, published 8/81) 1 11/77 3.6 Content of Technical Specifications for Fuel Reprocessing Plants - 04/73 3 3.7 Monitoring of Combustible Gases and Vapors in Platonium Processing and Fuel - 03/73 Fabrication Plants 3.8 Preparation of Environmental Reports for Uranium Mills - 04/73 1 09/78 2 10/82 3.9 Concrete Radiation Shields - 06/73 . 3.10 Liquid Waste Treatment System Design Guide for Plutonium Processing and Fuel - 06/73 j Fabrication Plants i 3.11 Design, Construction, and Inspection of Embankment Retention Systems for - 06/73 Uranium Mills 1 03/77 2 12/77 3.11.1 Operational Inspection and Surveillance of Embankment Retention - 04/79 Systems for Uranium Mill Tailings 1 10/80 3.12 General Design Guide for Ventilation Systems of Plutonium Processing and Fuel - 08/73 Fabrication Plants 3.13 Guide for Acceptable Waste Storage Methods at UFs Production Plants - 10/73 3.14 Seismic Design Classification for Plutonium Processing and Fuel Fabrication - 10/73 Plants 3.15 Standard Format and Content of License Applications for Storage Only of - 1L/73 Unirradiated Power Reactor Fuel and Associated Radioactive Material (Draft 1 04/83 CE 219-4, Proposed Revision 1, published 8/82) RG-15 August 30,1996 (reset)
l Guide Published . i Number Title Rev. Month / Year I 3.16 General Fire Protection Guide for Plutonium Processing and Fuel Fabrication - 01/74 Plants 3.17 Earthquake Instrumentation for Fuel Reprocessing Plants - 02/74 3.18 Confinement Barriers and Systems for Fuel Reprocessing Plants - 02/74 3.19 Reporting of Operating Information for Fuel Reprocessing Plants - 02/74 3.20 Process Offgas Systems for Fuel Reprocessing Plants - 02/74 3.21 Quality Assurance Requirements for Protective Coatings Applied to Fuel - 03/74 ; Reprocessing and to Plutonium Processing and Fuel Fabrication Plants j 3.22 Periodic Testing of Fuel Reprocessing Plant Protection System Actuation - 06/74 Functions 3.23 (Withdrawn-See 45 FR 71876,10/30/80) - - 3.24 (Withdrawn-See 46 FR 14507,2/27/81) - - 3.25 Standard Format and Content of Safety Analysis Reports for Uranium - 12/74 Enrichment Facilities ; 3.26 Standard Format and Content of Safety Analysis Reports for Fuel Reprocessing - 02/75 Plants ! 3.27 Nondestructive Examination of Welds in the Liners of Concrete Barriers in Fuel - 05/75 Reprocessing Plants 1 05/77 3.28 Welder Qualification for Welding in Areas of Limited Accessibility in Fuel - 05/75 i Reprocessing Plants and in Plutonium Processing and Fuel Fabrication Plants 3.29 Preheat and Interpass Temperature Control for the Welding of Low Alloy Steel - 05/75 for Use in Fuel Reprocessing Plants and in Plutonium Processing and Fuel Fabrication Plants ! 3.30 Selection, Application, and Inspection of Protective Coatings (Paints) for Fuel - 06/75 Reprocessing Plants O-R 05/77 3.31 Emergency Water Supply Systems for Fuel Reprocessing Plants - 09/75 O-R 05/77 3.32 General Design Guide for Ventilation Systems for Fuel Reprocessing Plants - 09/75 (for Comment) 3.33 Assumptions Used for Evaluating the Potential Radiological Consequences of - 04/77 Accidental Nuclear Criticality in a Fuel Reprocessing Plant (for Comment) 3.34 Assumptions Used for Evaluating the Potential Radiological Consequences of - 04/77 Accidental Nuclear Criticality in a Uranium Fuel Fabrication Plant 1 07/79 3.35 Assumptions Used for Evaluating the Potential Radiological Consequences of - 05/77 Accidental Nuclear Criticality in a Plutonium Processing and Fuel Fabrication 1 07/79 Plant 3.36 (Withdrawn-See 44 FR 6535, 2/1/79) August 30,1996 (reset) RG-16
4 Guide Published Number Title Rev. Month / Year
- 3.37 Guidance for Avoiding Intergranular Corrosion and Stress Corrosion in Austenitic -
09/75 Stainless Steel Components of Fuel Reprocessing Plants (for Comment) l 3.38 General Fire Protection Guide for Fuel Reprocessing Plants (for Comment) - 06/76 3.39 Standard Format and Content of License Applications for Plutonium Processing - 01/76 I and Fuel Fabrication Plants 3.40 Design Basis Floods for Fuel Reprocessing Plants and for Plutonium Processing - 11/76 and Fuel Fabrication Plants 1 12/77 3.41 (Withdrawn-See 51 FR 11660, 4/4/86) - - 3.42 Emergency Planning for Fuel Cycle Facilities and Plants Licensed Under 10 CFR - 08/77 Parts 50 and 70 1 09/79 3.43 Nuclear Criticality Safety in the Storage of Fissile Materials - 08/78 1 04/79 3.44 Standard Format and Content for the Safety Analysis Report for an Independent - 12/78 l Spent Fuel Storage Installation (Water Basin Type) (Draft CE 403-4, Proposed 1 11/80 l Revision 2, published 11/86) 2 01/89 3.45 Nuclear Criticality Safety for Steel-Pipe Intersections Containing Aqueous - 11/80 Solutions of Fissile Materials (Draft FP 925-5 published 1/80) (Draft CE 802-5, 1 04/89 Proposed Revision 1, published 5/88) 3.46 Standard Format and Content of License Applications, including Environmental - 06/82 Reports, for in Situ Uranium Solution Mining (Draft FP 818-4 published 7/80) l 3.47 Nuclear Criticality Control and Safety of Homogeneous Plutonium-Uranium Fuel - 07/81 i Mixtures Outside Reactors (Draft FP 026-5 published 12/80) 3.48 Standard Format and Content for the Safety Analysis Report for an Independent 1 08/89 Spent Fuel Storage Installation or Monitored Retrievable Storage Installation (Dry Storage) (Draft FP 029-4 published 12/80) (Draft CE 406-4, Proposed Revision 1, published 10/86) 3.49 Design of an Independent Spent Fuel Storage Installation (Water-Basin Type) - 12/81 (Draft FP 806-6 published 1/81) 3.50 Gaidance on Preparing a License Application b Store Spent Fuelin an 1 09/89 Independent Spent Fuel Storage Installation (Draft FP 907-4 published 3/81) (Draft CE 402-4, Proposed Revision 1, published 9/86) 3.51 Calculational Models for E'stimating Radiation Doses to Man from Airborne - 03/82 Radioactive Materials Resulting from Uranium Milling Operations (Draft RH 802-4 published 5/79) (Errata published August 1982) 3.52 Standard Format and Content for the Health and Safety Sections of License - 07/82 Renewal Applications for Uranium Processing and Fuel Fabrication (Draft 1 11/86 FP 716-4 published 10/80) (Draft CE 308-4, Proposed Revision 1, published 7/85) 3.53 Applicability of Existing Regulatory Guides to the Design and Operation of an - 07/82 Independent Spent Fuel Storage Installation (Draft CE 037-4 published 11/81) 3.54 Spent Fuel Heat Generation in an Independent Spent Fuel Storage Installation - 09/84 (Draft FP 034-4 published 12/80) (Second Draft CE 034-4 published 1/83) RG-17 August 30,1996 (reset)
I l l l l Guide Published Number Title Rev. Month / Year 3.55 Standard Format and Content for the Health and Safety Sections of License - 04/85 Renewal Applications for Uranium Hexafluoride Production (Draft CE 227-4 published 1/84) l 3.56 General Guidance for Designing, Testing, Operating, and Maintaining Emission - 05/86 Control Devices at Uranium Mills (Draft CE 309-4 published 5/85) 3.57 Administrative Practices for Nuclear Criticality Safety at Fuels and Materials - 10/86 Facilities (Draft CE 501-4 published 2/86) , 3.58 Criticality Safety for Handling, Storing, and Transporting LWR Fuel at Fuels - 10/86 . and Materials Facilities (Draft CE 407-4 published 7/85) 3.59 Methods for Estimating Radioactive and Toxic Airborne Source Terms for - 03/87 Uranium Milling Operations (Draft WM 407-4 published 4/S6) 3.60 Design of an Independent Spent Fuel Storage Installation (Dry Storage) (Draft - 03/87 CE 410-4 published 11/85) 3.61 Standard Format and Content for a Topical Safety Analysis Repon for a Spent - 02/89
- Fuel Dry Storage Cask (Draft CE 306-4 published 4/86) 3.62 Standard Format and Content for the Safety Analysis Report for Onsite Storage -
02/89 of Spent Fuel Storage Casks (Draft CE 301-4 published 4/86) 3.63 Onsite Meteorological Measurement Program for Uranium Recovery Facilities- - 03/88 Data Acquisition and Reporting (Draft ES 401-4 published 9/85) 3.64 Calculation of Radon Flux Attenuation by Earthen Uranium Mill Tailings - 06/89 Covers (Draft WM 503-4 published 5/87) 3.65 Standard Format and Content of Decommissioning Plans for Licensees Under - 08/89 10 CFR Parts 30, 40, and 70 (Task CE 304-4) { i 3.66 Standard Format and Content of Financial Assurance Mechanisms Required for - 07/90 Decommissioning Under 10 CFR Parts 30, 40, 70, and 72 (DG-3002-1/90) 3.67 Standard Format and Content for Emergency Plans for Fuel Cycle and Materials Facilities 01/92 3.68 Nuclear Criticality Safety Training , 1 04/94 1 Topical Guidelines for the Licensing Support System 09/96 I
> 3.69 i
l l i l l September 30,1996 RG 18
l 1 l l . DIVISION 3 ! DRAIT REGULATORY GUIDES Task Published Number Title Month / Year ! CE 304-4 Standard Format and Content of Decommissioning Plans for 10 CFR Parts 30,40, 12/85
- and 7G Licensees CE 402-4 (Preposed Revision 1 to Regulatory Guide 3.50) Guidance on Preparing a License 09/86 ,
1 Application To Store Spent Fuel and High-Level Radioactive Waste j l 10/86 l CE 406-4 (Propowd Revision 1 to Regulatory Guide 3.48) Standard Format and Content for ! the Safety Analysis Report for an Independent Spent Fuel Storage Installation or Monitored Retrievable Storage Installation (Dry Storage) I Records Important for Decommissioning for Licensees Under 10 CFR Parts 30, 07/89 ! DG-3001 40, 70, and 72 Standard Format and Content of Financial Assurance Mechanisms Required for 01/90 DO-3002 , Decommissioning Format and Content for the License Application for the High-Level Waste 11/90 i DO-3003 Repository Criticality Safety for Handling, Storing, and Transporting LWR Fuel at Fuels 05/90 I DG-3004 > and Materials Facilities Standard Format and Content for Emergency Plans for Fuel Cycle and Materials 10/90 DO-3005 Facilities i 04/93 I l DG-3006 Standard Format and Content for Fire Protection Sections of License Applications for Fuel Cycle Facilities l Nuclear Criticality Safety Training 01/93 DG-3008 07/93 DG-3009 Topical Guidelines for the Licensing Support System ES 114-4 Guidelines for Ground-Water Monitoring at In Situ Uranium Solution Mines 06/83 ES 115-4 Guidelines for Modeling Ground Water Transpcst of Radioactive and Nonradioactive 05/83 Contaminants at Tailings Disposal Sites 03/82 j HF 608-4 Training and Certification of Independent Sper.t Fuel Storage Installation Operators l 11/82 j MS 146-4 Design. Installation, and Inspection of Seepage Control Liners at Uranium Recovery Facilities 08/81 WM 039-4 (Proposed Revision 2 to Regulatory Guide 3.5) Standard Format and Content of License Applications for Uranium Mills t l
- i i 1
( l l l l RG-19 August 30,1996 (reset) I - - - _
... - - . ..-_ . -. . . . . - - . ~ _ ~ - - . _ _ ~ _. -- . . - - ,
i I 4 9 REGULATORY GUIDE SERIES DIVISION 4 - ENVIRONMENTAL AND SITING ACTIVE REGULATORY GUIDES I l Guide PuMished Number Title j Rev. Month / Year i 4.1 Programs for Monitoring Radioactivity in the Environs of Nuclear Power Plants - 01/73 { 1 04/75 ' 4.2 Preparation of Environmental Reports for Nuclear Power Stations - 02/71 1 01/75 2 07/76 I 4.3 (Withdrawn-See 41 FR 53870,12/9/76) - - 4.4 Reporting Procedure for Mathematical Models Selected To Predict Heated - 05/74 Effluent Dispersion in Natural Water Bodies 4.5 Measurements of Radionuclides in the Environment-Sampling and Analysis of - 05/74 Plutonium in Soil 4.6 Measurements of Radionuclides in the Environment-Strontium-89 and 05/74 l Strontium-90 Analyses ; I 4.7 General Site Suitability Criteria for Nuclear Power Stations - 09/74 I 1 11/75 i 4.8 Environmental Technical Specifications for Nuclear Power Plants (for Comment) - 12/75 7 4.9 Preparation of Environmental Reports for Commercial Uranium Enrichment - 12/74 Facilities 1 10/75 - 4.10 (Withdrawn-See 42 FR 59436,11/17/77) - - 4.11 Terrestrial Emironmental Studies for Nuclear Power Stations - 07/76 1 08/77 4.12 (Not published) - - 4.13 Performance. Testing, and Procedural Specifications for Thermoluminescence - 11/76 Dosimetry: Ernironmental Applications 1 07/77 ' 4.14 Radiological Effluent and Environmental Monitoring at Uranium Mills - 06/77 1 04/80 4.15 Quality Assurance for Radiological Monitoring Programs (Normal Operations)- - 12/77 Effluent Streams and the Emironment 1 02/79 4.16 Monitoring and Reporting Radioactivity in Releases of Radioactive Materials in - 03/78 l Liquid and Gaseous Effluents from Nuclear Fuel Processing and Fabrication 1 12/85 . Plants and Uranium Hexafluoride Production Plants (Draft CE 401-4 Proposed ) Revision 1, published 9/84) (Errata published 8/86) J 4.17 Standard Format and Content of Site Characterization Plans for High-Level- - 07/82 Waste Geologic Repositories (Draft GS 027-4 published 4/81) (Draft 1 03/87 WM 404-4, Proposed Revision 1, published 2/85) August 30,1996 (reset) . RG-20 l
GuWe Published Number Title Rev. Month / Tear 4.18 Standard Format and Content of Environmental Reports for Near-Surface - 06/83 Disposal of Radioactive Waste (Draft WM 013-4 published 4/82) 4.19 Guidance for Selecting Sites for Near-Surface Disposal of Low-Level Radioactive - 08/88 Waste (Draft WM 408-4 published 3/87)
> 4.20 Constraint on Releases of Airborne Radioactive Materials to the Environment for 12/96 Licensees Other than Power Reactors (Draft Regulatory Guide, DG-8016, was removed 12/96) i RG-21 December 31,1996
~ - _ . . . _ - _ _ _
. - - . ~ - -..~ . - . - . - . . . . . . - _ . - . _ . - . _ - - . - . - - - . . . . - . --~ 1 DIVISION 4 - DRAFT REGULATORY GUIDES Task Published Number Title Month / Year DG-4002 Guidance for the Preparation of Supplemental Environmental Repons in 09/91 Support of an Application to Renew a Nuclear Power Plant Operating : License. l j DG-4003 General Site Suitability Criteria for Nuclear Power Stations (Proposed 11/92 l Revision 2 to Regulatory Guide 4.7) i DG-4004 General Site Suitability Criteria for Nuclear Power Station (Second 02/95 Proposed Revision to Regulatory Guide 4.7) i i i i 1 4 August 30,1996 (reset) RG-22
_ _ _ . _ _ _ _ _ . _ _ .. . _ . _ _ _ _ . _ . _ . _ . _ _ . _ . _ _ _ . . _ _ _ _ - ~ _ . .
, l v i t
- REGULATORY GUIDE SERIES l
DIVISION 5 - MATERIES AND PLANT PROTECTION i j ACTIVE REGULATORY GUIDES ( Guide Published ' i Number Title Rev. Month / Year I F.1' Serial Numbering of Fuel Assemblies for Light Water-Cooled Nuclear Power - 12/72 , Reactors l l 5.2 (Withdrawn-See 44 FR 57542,10/5/79) - - ! 5.3 Statistical Terminology and Notation for Special Nuclear Materials Control and - 02/73
- Accountability )
i 4 I
- 5.4 Standard Analytical Methods for the Measurement of Uranium Tetrafluoride -
02/73 1 (UF.) and Uranium Hexafluoride (UFe) 5.5 Standard Methods for Chemical, Mass Spectrometric, and Spectrochemical - 02/73 !. Analysis of Nuclear-Grade Uranium Dioxide Powders and Pellets 5.6 (Withdra a-See 50 FR 25364, 6/18/85) - - ! 5.7 Entry / Exit Control for Protected Areas, Vital Areas, and Material Access Areas - 06/73 (Draft SG 909-4, Proposed Revision 1, published 5/79) 1 05/80 i k 5.8 Design Considerations for Minimizing Residual Holdup of Special Nuclear - 06/73 . Material in Drying and Fluidized Bed Operations 1 05/74 i j 5.9 Guidelines for Germanium Spectroscopy Systems for Measurement of Special - 06/73
~ Nuclear Material (Draft SG 042-2 Proposed Revision 2 rubi16ed 7/82) 1 05/74 2 12/83 5.10 Selection and Use of Pressure-Sensitive Seals on Containers for Onsite Storage of -
07/73 Special Nuclear Material ! 5.11 Nondestructive Assay of Special Nuclear Material Contained in Scrap and Waste - 10/73 l 04/84 [ (Draft SG 043-4, Proposed Revision 1, published 11/82) 1 l 5.12 ' General Use of Locks in the Protection and Control of Facilities and Special - 11/73 i Nuclear Materials 5.13 Conduct of Nuclear Material Physical Inventories - 11/73 i 5.14 Use of Observation (Visual Surveillance) Techniques in Material Access Areas - 11/73 (Draft SG 910-4, Proposed Revision 1, published S/79) 1 05/80 5.15 Security Seals for the Protection and Control of Special Nuclear Material - 01/74 l 5.16 (Withdrawn-See 50 FR 25364, 6/18/85) - - 5.17 Truck Identification Markings - 01/74 ! 5.18 Limit of Error Concepts and Principles of Calculation in Nuclear Materials - 01/74 Contro! 5.19 (Withdrawn-See 50 FR 25364, 6/18/85) - -
. - RG-23 August 30,1996 (reset)
Guide Published . Number Title Rev. Month / Year 5.20 Training, Equipping, and Qualifying of Guards and Watchmen - 01/74 5.21 Nondestructive Uranium-235 Enrichment Assay by Gamma Ray Spectametry - 04/74 (Draft SG 044-4, Proposed Revision 1, published 6/82) 1 12/83 ; 5.22 Assessment of the Assumption of Normality (Employing Individual Observed - 04/74 Values) 5.23 In Situ Assay of Plutonium Residual Holdup (Draft SG 045-4, Proposed - 05/74 Revision 1, published 10/62) 1 02/84 5.24 Analysis and Use of Process Data for the Protection of Special Nuclear Material - 06/74 5.25 Design Considerations for Minimizing Residuad Holdup of Special Nuclear Material - 06/74 in Equipment for Wet Process Operations 5.26 Selection of Material Balance Areas and item Control Areas - 06/74 1 04/75 5.27 Special Nuclear Material Doorway Monitors - 06/74 5.28 Evaluation of Shipper-Receiver Differences in the Transfer of Special Nuclear - 06/74 Materials 5.29 Nuclear Material Control Systems for Nuclear Power Plants - 06/74 1 06/75 5.30 Materials Protection Contingency Measures for Uranium and Plutonium Fuel - 06/74 Manufacturing Piants 5.31 Specially Designed Vehicle with Armed Guards for Road Shipment of Special - 06/74 Nuclear Material 1 04/75 5.32 Communication with Transport Vehicles - 06/74 1 05/75 5.33 Statistical Evaluation of Material Unaccot nted For - 06/74 5.34 Nondestructive Assay for Plutonium in Scrap Material by Spontaneous Fission - 06/74 Detection (Draft SG 046-4, Proposed Revision 1, published 6/82) 1 05/84 5.35 (Withdrawn-See 42 FR 41677, 8/18/77) - - 5.36 Recommended Practice for Dealing with Outlying Observations - 06/74 5.37 In Situ Assay of Enriched Uranium Residual Holdup (Draft SG 047-4, Proposed - 08/74 Revision 1, published 8/82) 1 10/83 5.38 Nondestructive Assay of High-Enrichment Uranium Fuel Plates by Gamma Ray - 09/74 Spectrometry (Draft SG 048-4, Proposed Revision 1, published 8/82) 1 10/83 5.39 General Methods for the Analysis of Uranyl Nitrate Solutions for Assay, Isotupic - 12/74 Distribution, and impurity Determinations 5.40 (Withdrawn-See 50 FR 25364, 6/18/85) - - 5.41 (Not issued) - - August 30,1996 (reset) RG-24
Guide Published , Number Title Rev. Month / Year ! 1 1 5.42 Design Considerations for Minimizing Residual Holdup of Special Nuclear - 01/75 Material in Equipment for Dry Process Operations 5.43 Plant Security Force Duties - 01/75 5.44 Perimeter Intrusion Alarm Systems (Draft SG 479-4, Proposed Revision 2, - 01/75 published $/79) 1 06/76 2 05/80 5.45 Standard Format and Content for the Special Nuclear Material Control and - 12/74 Accounting Section of a Special Nuclear Material License Application (including That for a Uranium Enrichment Facility) 5.46 (Not issued) - - i 5.47 (Withdrawn-See 50 FR 25364, 6/18/85) - - 5.48 Design Considerations-Systems for Measuring the Mass of Liquids - 02/75 5.49 Internal Transfers of Special Nuclear Material (for Comment) - 03/75 j l 5.50 (Not issued) - - 5.51 Management Review of Nuclear Material Control and Accounting Systems (for - 06/75 Comment) 5.52 Standard Format and Content of a Licensee Physical Protection Plan for - 05/75 Strategic Special Nuclear Material at Fixed Sites (Other than Nuclear Power 1 06/76 ) Plants) 2 07/80 3 01/95 5.53 Qualification, Calibration, and Error Estimation Methods for Nondestructive - 08/75 Assay (Draft SG 049-4, Proposed Revision 1, published 6/82) 1 02/84 5.54 Standard Format and Content of Safeguards Contingency Plans for Nuclear - 03/78 Power Plants (for Comment) 5.55 Standard Format and Content of Safeguards Contingency Plans for Fuel Cycle - 03/78 Facilities (for Comment) . 1 5.56 Standard Format and Content of Safeguards Contingency Plans for - 03/78 l Transportation (for Comment) ! 5.57 Shipping and Receiving Control of Strategic Special Nuclear Material (Draft - 06/76 I SG 908-4, Proposed Revision 1, published 5/79) 1 06/80 1 5.58 Considerations for Establishing Traceability of Special Nuclear Material - 11/78 Accounting Measurements 1 02/80 5.59 Standard Format and Content for a Licensee Physical Security Plan for the - 01/80 Protection of Special Nuclear Material of Moderate or Low Strategic 1 02/?3 Significance (Draft MP 711-4 published 7/79) (Draft SG 229-4, Proposed Revision 1, published 9/82) RG-25 August 30,1996 (reset)
i l l Gulde Published Number . < le Rev. Month / Year 5.60 Standard Format and Content of a Licensee Physical Protection Plan for Strategic - 04/80 Special Nuclear Material in Transit 5.61 Intent and Scope of the Physical Protection Upgrade Rule Requirements for - 06/80 Fixed Sites 5.62 . Reporting of Safeguards Events (Draft SG 901-4 published 10/79) (Draft - 02/81 SG 901-4. Proposed Revision 1, published 10/85) 1 11/87 5.63 Physical Protection for Transient Shipments (Draft SG 126-4 published 9/81) - 07/82 5.64 (Not issued) - - 5.65 Vital Area Access Controls, Protection of Physical Security Equipment, and - 09/86 Key and Lock Controls (Draft SG 302-4 published 1/85) l 5.66 Access Authorization Program for Nuclear Power Plants - 07/91 j 5.67 Material Control and Accounting for Uranium Enrichment Facilities - 01/94 Authorized to Produce Special Nuclear Material of Low Stsategic Significance 1 5.68 Protection Against Malevolent Use of Vehicles at Nuclear Power Plants - 08/94 ' (DG-5006 Protection Against Malevolent Use of vehicles at Nuclear Power Plants 12/93) i l i August 30,1996 (reset) RG-26
DIVISION 5 DRAFT REGULATORY GUIDES l Task Published Number Title Month / Year DG-5002 Material Control and Accounting for Uranium Enrichment Facilities Authorized 02/91 to Produce Special Nuclear Material of Low Strategic Significance DG-5004 Standard Format and Content of a Licensee Phyrical Protection Plan for Strategic Special Nuclear Material at Fixed Sites (Cther Than Nuclear Power Plants) 05/94 DG-5005 . Tamper-Indicating Seals for the Protection and Control of Special Nuclear Material 01/96 DG-5007 Perimeter Intrusion Alarm Systems (Proposed Revision 3 to Regulatory Guide 5.44) 04/96 SG 301-4 (Withdrawn-See 56 FR 36175. 7/31/91) l l 1
)
l l l l 4 RG-27 August 30,1996 (reset)
_ ._ -. ~ . _ . _ . . _ . _ . . _ _ _ _ _ _ _ . . . _ _ . REGULATORY GUIDE SERIES . DIVISION 6 - PRODUCTS ACTIVE REGULATORY GUIDES Guide Published Number Title Rev. Month / Year 6.1 Leak Testing Radioactive Brachytherapy Sources - 02/74 1 07/74 j 6.2 Integrity and Test Specifications for Selected Brachytterapy Sources - 02/74 4 1 07/74 03/74 I 6.3 Design, Construction, and Use of Radioisotopic Power Generators for Certain - Land and Sea Applications 6.4 Classification of Containment Properties of Scaled Radioactive Sources - 03/74 ! 1 05/75 2 08/80 6.5 General Safety Standard for Installations Using Nonmedical Scaled Gamma- - 06/74 Ray Sources 6.6 Acceptance Sampling Procedures for Exempted and Generally Licensed items - 06/74 Containing Byproduct Material , 6.7 Preparation of an Environmental Report To Support a Rule Making Petition - 10/75 Seeking an Exemption for a Radionuclide-Containing Product 1 06/76 6.8 Identification Plaque for irretrievable Well-Logging Sources (for Comment) - 10/78 ! 6.9 Establishing Quality Assurance Programs for the Manufacture and Distribution - 03/95 of Sealed Sources and Devices Containing Byproduct Material 1
. August 30,1996 (resst) . RG-28
. - . . . . - . - . . . . _ . - .. .. . ~ . . . . . . . . . - . . - - _ . . - . - . . - -
l l . DIVISION 6 DRAFT REGULATORY GUIDES Task Published Number Title Month / Year i DG-6002 Establishing Quality Assurance Programs for the Manufacture and Distribution j of Scaled Sources and Devices Containing Byproduct Material 06/94
?
TP 102-5 Safety Features of Gauges Containing Radioactive Material 11/80 l I I l l i I l l l 1 l i RG-29 August 30,1996 (reset)
REGULATORY GUIDE SERIES
- DIVISION 7 - TRANSPORTATION ACTIVE REGULATORY GUIDES t
Guide Published Number Title Rev. Month / Year 1 7.1 Administrative Guide for Packaging and Transporting Radioactive Material - 06/74 7.2 Packaging and Transportation of Radioactively Contaminated Biological Materials - 06/74 1 7.3 Procedures for Picking Up and Receiving Packages of Radioactive Material - 05/75 (for Comment) 4 7.4 Leakage Tests on Packages for Shipment of Radioactive Materials (for Comment) - 06/75 7.5 Administrative Guide for Obtaining Exemptions from Certain NRC Requirements - 06/75 over Radioactive Material Shipments O-R 05/77 i 7.6 Design Criteria for the Structural Analysis of Shipping Cask Containment Vessels - 02/77 1 03/78 7.7 Administrative Guide for Verifying Compliance with Packaging Requirements for - 08/77 Shipments of Radioactive Materials (for Comment) 7.8 Load Combinations for the Structural Analysis of Shipping Casks for Radioactive - 03/77 I Material (Draft MS 527-4, Proposed Revision 1 published 7/87) (Draft MS 1 03/89 1 804-4, Second Proposed Revision 1, published 9/88) l 7.9 Standard Format and Content of Part 71 Applications fer Approval of Packaging - 03/79 of Type B, Large Quantity, and Fissile Radioactive Material (Draft FC 416-4, 1 01/80 Proposed Revision 2, published 5/86)
'7.10 Establishing Quality Assurance Programs for Packaging Use d in the Transport of -
01/83 Radioactive Material (Combined Draft TP P19-4. r6Lned 6/82 and Draft 1 06/86 TP 020-4, published 3/81) 7.11 Fracture Toughness Criteria of Base Material for Fernuc Steel Shipping Cask - 07/91 Containment Vessels with a Maximum Wall Thickness of 4 Inches (0.1 m) 7.12 Fracture Toughness Criteria of Base Material for Ferritic Steel Shipping Cask - 07/91 Containment Vessels with a Wall Thickness Greater than 4 Inches (0.1 m) But Not Exceeding 12 Inches (0.3 m) i August 30,1996 (reset) RG-30
DIVISION 7 DRAIT REGULATORY GUIDES Task Published Number Title Month / Year DO-7001 Fracture Toughness Criteria for Ferritic Steel Shipping Cask Containment Vessels 07/89 with a Maximum Wall Thickness of Four Inches (0.1 m) (Previously issued as Task MS 144-4) DG-7002 Fracture Toughness Criteria for Ferritic Steel Shipping Cask Centainment Vessels 07/89 with a Wall Thickness Greater than Four Inches (0.1 m) (Previously issued as Task MS 501-4) FC 416-4 (Proposed Revision 2 to Regulatory Guide 7.9) Standard Format and Content of 05/86 Part 71 Applications for Approval of Packaging for Radioactive Material TP 914-4 Measurement of Radiation Levels on Surfaces of Packages of Radioactive 12/79 Materials RG-31 August 30,1996 (reset)
REGULATORY GUIDE SERIES ' DIVISION 8 -- OCCUPATIONAL HEALTH ACTIVE REGULATORY GUIDES Guide Published Number Title Rev. Month / Year 8.1 Radiation Symbol - 02/73 8.2 Guide for Administrative Practices in Radiation Monitoring - 02/73 8.3 Film Badge Performance Criteria - 02/73 8.4 Direct-Reading and Indirect Reading Pocket Dosimeters - 02/73 8.5 Criticality and Other Interior Evacuation Signals - 02/73 1 03/81 8.6 Standard Test Procedure for Geiger Muller Counters - 05/73 8.7 Instructions for Recording and Reporting Occupational Radiation Exposure Data 05/73 1 07/92 8.8 Information Relevant to Ensuring that Occupational Radiation Exposures at - 07/73 Nuclear Power Stations Will Be As Low As is Reasonably Achievable (Draft 1 09/75 OH 507-4, Proposed Revision 4, published 3/79) (Draft OP 618-4, Second 2 03/77 Proposed Resision 4 published 5/82) 3 06/78 8.9 Acceptable Corcepts, Models, Equations, and Assumptions for a Bioassay - 09/73 Program 1 08/93 8.10 Operating Philosophy for Maintaining Occupational Radiation Exposures As Low - 04/74 As is Reasonably Achievable 1 09/75 1-R 05/77 8.11 Applications of Bioassay for Uranium - 06/74 8.12 Criticality Accident Alarm Systems (Draft OH 015-4, Proposed Revision 1, - 12/74 published 5/80) (Draft CE 801-5 Proposed Revision 2, published 5/88) 1 01/81 2 10/88 8.13 Instruction Concerning Prenatal Radiation Exposure (Draft OP 031-4, Proposed - 03/75 Revision 2, published 8/81) 1 11/75 2 12/87 8.14 Personnel Neutron Dosimeters (Draft OH 940-4, Proposed Revision 2 - 06/76 published 2/80) 1 08/77 8.15 Acceptable Programs for Respiratory Protection - 10/76 8.16 (Not issued) - - 8.17 (Not issued) - - 8.18 Information Relevant to Ensuring that Occupational Radiation Exposures at - 12/77 Medical Institutions Will Be As Low As Reasonably Achievable 1 10/82 8.19 Occupational Radiation Dose Assessment in Light-Water Reactor Power Plants- - 05/78 Design Stage Man Rem Estimates 1 06/79 August 30,1996 (reset) RG-32
Guide Published Number Title Rev. Month / Year 8.20 Applications of Bioassay for I-125 and 1-131 - 04/78 l 1 09/79 8.21 Health Physics Surveys for Byproduct Material at NRC-Licensed Processing and - 05/78 Manufacturing Plants 1 10/79 1 8.22 Bioassay at Uranium Mills (Draft OP 013-4, Proposed Revision 1, - 07/78 published 1/87) 1 08/88 8.23 Radiation Safety Surveys at Medical Institutions - 02/79 1 01/81 8.24 Health Physics Surveys During Enriched Uranium-235 Processing and Fuel - 11/78 Fabrication 1 10/79 E.25 Calibration and Error Limits of Air Sampling Instruments for Total Volume of 1 07/92 Air Sampled (Draft OH 905-4 published 10/79); 08/80 8.26 Applications of Bioassay for Fission and Activation Products (Draft OH 714-4 - 09/80 published 8/79) 8.27 Radiation Protection Training for Personnel at Light-Water-Cooled Nuclear - 03/81 Power Plants (Draft OH 717-4 published 8/79) 8.28 Audible-Alarm Dosimeters (Draft OH 804-4 published 8/79) - 08/81 8.29 Instruction Concerning Risks from Occupational Radiation Exposure .(Draft - 07/81 OH 902-4 published 5/80) 1 03/96 8.30 Health Physics Surveys in Uranium Mills (Draft OH 710-4 published 8/80) - 06/83 8.31 Informatu.n Relevent to Ensuring that Occupational Radiation Exposures at - 05/83 Urani2m Mills Will Be As Low As Is Reasonably Achievable (Draft OH 941-4 ydohshed 8/80) 8.32 Criteria for Establishing a Tritium Bioassay Program (Draft OP 713-4 - 07/88 published 6/83) 8.33 Quality Management Program - 11/91 8.34 Monitoring Criteria and Methods to Calculate Occupational Radiation Doses - 08/92 l 8.35 Planned Special Exposures - 07/92 8.36 Radiation Dose to the Embryo / Fetus - 08/92 8.37 ALARA Levels of Effluents from Materials Facilities - 08/93 8.38 Control of Access to High and Very High Radiation Areas in Nuclear Power Plants - 07/93 i RG-33 August 30,1996 (reset)
DIVISION 8 " DRAFT REGULATORY GUIDES Task Number Publisl ed Title Month / War DG-8001 Basic Quality Assurance Program for Medical Use 01/90 DG-8003 Air Sampling in the Workplace (Proposed Revision 1 to Regulatory Guide 8.25) 10/91 DG-8004 Radiation Protection Programs for Nuclear Power Plants 11/91 DG-8006 Control of Access to High and Very High Radiation Areas in Nuclear Power Plants 11/91 DG-8007 Instructions for Recording and Reporting Occupational Radiation Exposure Data 12/91 DG-8008 Planned Special Exposures 01/92 DG-8009 Interpretation of Bioassay Measurements (Proposed Revision to Regulatory Guide 8.9) 01/92 DG-8010 Criteria for Monitoring and Methods for Summation of Internal and External Occupational Doses 03/92 DG-8011 Radiation Dose to the Embryo / Fetus 03/92 DG-8012 Instruction Concerning Risks from Occupational Radiation Exposure (Proposed 01/95 Revision 1 to Regulatory Guide 8.29) DG-8013 ALARA Levels for Effluents from Materials Facilities 11/92 DG-8014 Instruction Concerning Prenatal Radiation Exposure (Proposed Revision to 10/94 Regulatory Guide 8.14) DG-8015 Release of Patients Adtninistered Radioactive Materials 06/94 DG-8016 Constraints for Air Effluents for Licensees Other than Power Reactors (Proposed 01/96 Revision 1 to Regulatory Guide 8.37) OH 940-4 (Proposed Revision 2 to Regulatory Guide 8.14) Personnel Neutron Dosimeters i 02/80 OP 032-5 Test and Calibration of Radiation Protection Instrumentation 09/84 OP 212-4 Radiation Protection Training for Personnel Employed in Medical Facilities 01/84 OP 618-4 (Second Proposed Revision 4 to Regulatory Guide .8.8) Information Relevant to 05/82 Ensuring that Occupational Radiation Exposures at Nuclear Power Stations Will Be As Low As is Reasonably Achievable (ALARA) OP 722-4 Qualifications for the Radiation Safety Officer in a Large-Scale Non Fuel-Cycle 04/82 Radionuclide Program August 30,1996 (rcset) RG-34
4 l a REGULATORY GUIDE SERIES l
- DIVISION 9 - ANTITRUST AND FINANCIAL REVIEW ACTIVE REGULATORY GUIDES Guide Published i ' Number Title Rev. Month / Year 9.1 Regulatory Staff Position Statement on Antitrust Matters -
12/73 9.2 Information Needed by the NRC Staff in Connection with Its Antitrust Review - 10/74 of Construction Permit Applications for Nuclear Power Plants 1 06/76 . 9.3 Information Needed by the AEC Regulatory Staff in Connection with Its - 10/74 Antitrust Review of Operating License Applications for Nuclear Power Plants 9,4 Suggested Format for Cash Flow Statements Submitted as Guarantees of - 09/78 . Payment of Retrospective Premiums (for Comment) i i i + l RG-35 August 30,1996 (reset) i
REGULATORY GUIDE SERIES - DIVISION 10 - GENERAL ACTIVE REGULATORY GUIDES Guide Published Number Title Rev. Month / Year i 10.1 Compilation of Reporting Requirements for Persons Subject to NRC Regulations - 01/75 1 07/75 2 08/75 3 05/77 i 4 10/81 10.2 Guidance to Academic Institutions Applying for Specific Byproduct Material - 03/76 ! j Licenses of Limited Scope (Errata published 7/84) 1 12/76
- 10.3 Guide for the Preparation of Applications for Special Nuclear Material Licenses -
07/76 of Less than Critical Mass Quantities 1 04/77 10.4 Guide for the Preparation of Applications for Licenses to Process Source Material - 07/76 , (Errata published 7/84) (Draft FC 409-4, Proposed Revision 2, published 4/85) 1 03/77 2 12/87 10.5 Applications for Type A Licenses of Broad Scope (Errata published 7/84) - 09/76 (Draft FC 408-4, Proposed Revision 2, published 2/85; a second Proposed 1 12/80 Revision 2, published 11/94) 4 10.6 Guide for the Preparation of Applications for Use of Scaled Sources and Devices - 09/76 1 for Performing Industrial Radiography (Draft TP 602-4, Proposed Revision 1, 1 12/81
)
published 6/80) (Errata published 7/84) (Draft FC 401-4, Proposed Revision 2, published 10/84) 10.7 Guide for the Prepaction of Applications for Licenses for Laboratory and - 02/77 Industrial Use of Smsil Quantities of Byproduct Material (Errata published 7/84) 1 08/79 , 1 10.8 Guide for the Preparation of Applications for Medical Use Programs (Draft - 01/79 l FC 415-4, Proposed Revision 2, published 8/85)(Appendix X, " Guidance on Complying with New Part 20 Requirements," 07/92) 1 10/80 2 08/87 l 10.9 Guide for the Preparation of Applications for Licenses for the Use of Self- - 04/80 Contained Dry Source-Storage Gamma Irradiators (Draft OH 706-4 published 1 12/88 l 2/79) (Draft OP 706-4, Proposed Revision 1, published 4/82) (Errata published 7/84) (Draft FC 402-4. Second Proposed Revision 1, published 10/84) - l 10.10 Guide for the Preparation of Applications for Radiation Safety Evaluation and - 03/87 Registration of Devices Containing Byproduct Material (Draft FC 601-4 published 8/86) 10.11 Guide for the Preparation of Applications for Radiation Safety Evaluation and - 06/87 . Registration of Scaled Sources Containing Byproduct Material (Draft FC 603-4 i published 12/86) i l August 30,1996 (reset) RG-36
I DIVISION 10 l DRAFT REGULATORY GUIDES { l l Task Put,lished Number Title Month / Year - DG-0002 Guidance on Complying with New Pan 20 Requirements (Proposed Appendix X to Regulatory Guide 10.8) l 01/92 !
)
DG-0003 Guide for the Preparation of Applications for Licenses for Non-Self-Contained l Irradiators 02/94 ; DG-0005 Applications for Licenses of Broad Scope (First Proposed Revision 2 was 11/94 published in 2/85)
> DG-0010 Preparation of Petitions for Rulemaking Under 10 CFR 2.802 and Preparation and Submission of Proposals for Regulatory Guide Documents 08/96 i
FC 401-4 (Proposed Revision 2 to Regulatory Guide 10.6) Guide for the Preparation of 10/84 l Applications for the Use of Scaled Sources and Devices for Performing Industrial ) Radiography ! FC 403-4 Guide for the Preparation of Applications for Licenses for the Use of Panoramic Dry 01/85 Source-Storage Irradiators Self-Contained Wet Source-Storage Irradiators, and Panoramic Wet Source-Storage Irradiators FC 404-4 Guide for the Preparation of Applications for Licenses for the Use of Scaled Sources 01/85 in Nonportable Gauging Devices FC 405-4 Guide for the Preparation of Applications for Licenses for the Use of Se3hd Sources 02/85 i in Gas Chromatography Devices and X Ray Fluorescence Analyzers l l FC 406-4 Guide for the Preparation of Applications for Licenses and Approvals To Authorize 02/85 l Distribution of Various Items to Group Medical Licensees ! FC 407-4 Guide for the Preparation of Applications for Licenses for the Use of Scaled Sources 01/85 in Portable Gauging Devices FC 408-4 (Propostd Revision 2 to Regulatory Guide 10.5) Guide for the Preparation of 02/85 j Applications for Type A Licenses of Broad Scope FC 410-4 Guide for the Preparation of Applications for Nuclear Pharmacy Licenses 08/85 FC 411-4 Guide for the Preparation of Appl: cations for Licenses for the Use of Radioactive 06/85 Materials in Servicing Preregistered Gauges Measuring Devices, and Scaled Sources Used in Such Devices FC 412-4 Guide for the Preparation of Applications for Licenses for the Use of Radioactive 06/85 l Materials in Leak-Testing Services FC 413-4 Guide for the Preparation of Applications for Licenses for the Use of Radioactive 06/85 Materials in Calibrating Radiation Survey and Monitoring Instruments FC 414-4 Guide for the Preparation of Applications for Licenses for Medical Teletherapy 12/85 Programs (Second draft, previously issued as TM 608-4, 3/82; Errata published 7/84) i RG-37 August 30,1996
o 4-CHRONOLOGY Amendments to be Considered by Agreement States (from September 1971 thru March 20. 1997) Effective Date 10 CFR Part Reculations' Summary Sept. 24. 1971 20 Part C. Sch. B
- Addition of an exempt 30 Part D. App. B quantity for Ba-133.
March 26. 1971 20 A.3
- Addition and modification 30 C.40 of transport and packaging 40 C.100 procedures.
70 0.207 71 Nov. 2. 1972 20 Part D. App. A
- Changes in values of radionuclides of all concentrations in air and water.
Sept. 17, 1973 19 Part J
- Requirements for notices.
instructions and re) orts by licensees to worcers, and options available to workers with regard to inspections. Oct. 24, 1973 20 A.2(i)
- Change to abbreviations 30 Part C. Sch. A for " curie" and " micro-32 Part D. App. A curie." and addition of and App. B definition for " milli-curie."
Jan. 10, 1974 31 C.22(i) Authorization to use 32 C.28(h) C-14 in jn vitro clinical or laboratory tests. March 11. 1974 30 C.40
- Requirement that suppliers 31 must verify that customers 40 are authorized to receive 70 the material shipped.
150 July 29, 1974 20 A.2(i) *Special curie definitions Part D. App. A and concentration values for U and Th.
- Compatibility Item.
Refers to the Suggested State Regulations for Control of Radiation prepared by the Conference of Radiation Control Program Directors. Inc.
- b 2
Effective Date 10 CFR Part Reculations! Summary I Aug. 16, 1974 31 C.22(h) Addition of H-3 and Fe-59 32 C.26(c) to in vitro tests and 35 C.28(h) extension of Medical Group C.28(j) licensing. Jan. 15, 1975 31 C.22(d)
- Modification of require-32 C.28(d) ments for distribution of 31.5 GL devices.
Jan. 19, 1975 -- A.3(c)
- Clarification of AEC contractors exemption aursuant to Energy Reorganization Act.
June 25, 1975 20 0.206
- Requirements for control of licensed material in unrestricted areas and not in storage.
June 25. 1975 35 Part C. Sch. C Addition of I-125 seeds for interstitial treatment of cancer to Group VI. Jan. 19, 1976 20 D.1(a) *Incor) oration of "As Low As Is Reasonably Achievable (ALARA)" wording. Jan 29, 1976 20 Part D, App. A
- Modification of occupa- j tional exposure limit for !
Rn-222. Feb. 23, 1976 35 Part C, Sch. C Addition of Sn-113/In-113m generators to Group III. April 19, 1976 35 Part C Sch. C Addition of Yb-169 DTPA for cisternography to Group II. June 2, 1976 20 Parts C, D Requirements for preser-31 and E vations of certain records 32 required by the regulations . 35 l 40 I 70 150
- Compatibility Item, i
e 3 Effective Date 10 CFR Part Reaulations! Summary Aug. 4. 1976 34 E.203 Personnel monitoring recuirements for industrial raciographers. Aug. 16. 1976 35 Part C. Sch. C Addition of I-125 fibrinogen for detection of deep vein thrombosis to Group II. Dec. 29, 1976 20 0.103
- Authorizes use of respirators. Bases internal exposure limits on intake into the body.
Jan. 5. 1977 40 C.21(d) Establishes GL for depleted uranium products. March 7. 1977 40 C.3(c)
- Exemption for personnel neutron dosimeters containing thorium.
May 31. 1977 31 C.22(i) Addition of Se-75 to M 32 C.28(h) vitro GL. June 27. 1977 31 C.22(i) Addition of Mock Iodine- , 32 C.28(h) 125 calibration sources I to M vitro GL. Aug. 15, 1977 35 C.26(b) Modification of requiremerits for individual physician use of radioactive material for human use. Jan. 6. 1978 40 C.21(a) Extends small quantity source material GL to Federal. State and local governments for operational purposes. Jan 16. 1978 35 Part C. Sch. C Addition of Tc-99m human serum albumin for heart blood pool imaging to. Group III. Feb. 7, 1978 35 Part C. Sch. C Addition of Tc-99m medronate sodium for bone imaging to ! group III.
- Compatibility Item.
4 Effective Date 10 CFR Part Reaulations! Summary Feb. 16. 1978 30 C.4(c)
- Exemption for spark gap irradiators containing Co-60.
March 14. 1978 20 0.203(c)
- Additional requirements for controlling areas in which radiation levels in excess of 500 rems /hr exist.
June 16. 1978 35 Part C. Sch. C Addition of Tc-99m gluceptate sodium for brain and renal perfusion imaging to Group III. June 23. 1978 20 D.203(f)
- Removal or defacing of radioactive material labels on empty containers.
Sept. 7, 1978 35 Part C. Sch. C Addition of Tc-99m human serum albumin microspheres for venography to Group III. Dec. 28, 1978 35 G.3(c) Requirement to perform survey of patients to confirm that implants have been removed. March 22. 1979 35 Part C. Sch. C Deletion of diagnostic
. procedures from medical groups.
June 5. 1979 30 C.31(d) Notice of discontinued 40 licensed operations. 70 July 9, 1979 35 G.3(d). (e). Teletherapy calibrations (f),(g).(h) Aug. 20. 1979 19 D.1.
- Control of radiation to 20 D.101, 0.102 transient workers.
J.13 Sept. 27, 1979 71 C.100
- Modification of transportation requirements..
- Compatibility Item.
Effective Date 10 CFR Part Reaulations' Summary March 3. 1980 34 Part E Amendments to industrial C.26(e) radiography requirements. March 28. 1980 71 A.3(b)
- Correction to-reference C.101 to Postal Service regulations.
Sept. 2. 1980 35 C.26(c) Testing of radioisotope generators. Sept. 19, 1980 40 C.21(a) Deletion of GL for source material medicinals. Nov. 10. 1980 35 D.409 Medical misadministration reporting. Nov. 17, 1980 40 A.2
- Requirements to implement C.25(e),(f) the Uranium Mill Tailings (g) (h) Act.
C.29 Part C. Sch. E Dec. 1. 1980 20 0.106(g)
- Reference to 40 CFR 190 for uranium fuel cycle operations.
Jan. 28. 1981 20 0.304
- Deletion of waste burial authorization.
March 6. 1981 35 Part C. Sch. C Addition of Tc-99m oxidronate sodium to i Group III. I March 13, 1981 34 E.203(b) Disposal of dosimeter i records. I March 31. 1981 20 D.306 Biomedical waste rule. May 13, 1981 30 C.4(c)
- Exemption for survey instrument calibration sources.
Sept. 23. 1981 30 C.4(c)
- Addition of Am-241 to exemption for survey instrument calibration ,
sources.
- Compatibility Item.
O 6 , j Effective Date 10 CFR Part Requlations l Summary Nov. 30, 1981 D.201
- Radiation protection ;
20 survey requirement. l Dec. 24. 1981 40 C.3(c)(6)
- Clarification of l exemption for uranium shielding in shipping containers.
March 26. 1982 35 Part C. Sch. C Addition of Tc-99m labeled disofenin to Group III. April 15. 1982 20 D.103 Placement of provisions of Reg. Guide 8.15 in regulations. June 29, 1982 35 Part C. Sch. C Addition of Tc-99m labeled succimer to Group III. July 6, 1982 71 C.104
- Advance notification of '
i transport of waste. Sept. 13, 1982 35 C.26(a) Change medical isotope committee to radiation safety committee. Jan. 26, 1983 61 Part M
- Licensing requirements D.307 for land disposal of D.308 radioactive waste, and i D.309 waste classification. 1 Dec. 27, 1983** 20 D.311
- Transfer for disposal l and manifests.
March 4. 1983 35- G.4(h) (i) Teletherapy room monitors and servicing of source exposure mechanisms. March 7, 1983 35 C.26(c) Exemption from requirements for use of approved . radiopharmaceuticals for unapproved procedures.
- Compatibility Item.
** Published in conjunction with Part 61.
7 Effective Date 10 CFR Part Reaulations! Summary June 28, 1983 35 Part C. Sch. C Addition of I-125 sealed source in portable device to Group VI. Aug. 15, 1983 30 C.32 Expiration and termination 40 of licenses. 70 < 1 Sept. 6. 1983 71 Part T
- Transportation regs I compatibility with IAEA. l Sept. 28. 1983 30 W.501 Irretrievable well logging I 70 source.
150 i Sept. 11. 1984 40 C.3(c)
- Elimination of exemption I for glass enamel and glass enamel frit.
Sept. 10. 1985 35 C.26(c) Addition of T-99m labeled l pharmaceuticals for gastro esophegeal imaging and other I clinical procedures. Nov. 15. 1985 40 Part U
- Uranium Mill Tailings Appendix A (proposed) EPA Standards 150 July 16. 1986 34 Part E
- Industrial radiography storage surveys and quarterly audits i
Feb. 11. 1987 30 Part C.K U
- Bankruptcy notification i 40 61 70 March 24. 1987 35 Part G. Exemption for use of Part C aerosols.
April 1. 1987 35 Part G. Revision for medical use. Part C
- Medical misadministration reporting July 14, 1987 39 Part W
- Requirements for well logging.
- Compatibility Item.
O 8 Effective Date 10 CFR Part Reaulations! Summary Feb. 12. 1988 20 Part D *NVLAP certification of dosimetry processors. July 27. 1988 30.40. Part C
- Decommissioning 70 June 26. 1989 61 Part D Greater than Class C July 17 1989 39 Part W Exemption-Authorized to use sealed sources in well logging.
October 12. 1989 35 Part G Addition of Palladium-103 for Interstitial Treatment of cancer. April 7.1990 30.40. Part C
- Emergency Plan.
54 FR 14051*** 70 August 23, 1990 35 Part G Use of Radiopharmaceuticals August 23, 1993 for therapy. 55 FR 34513 58 FR 39130 January 10. 1991 34 Part E
- Safety requirements for 55 FR 843 radiographic equipment.
April 18. 1991 34 Part E ASNT Certification of 56 FR 11504 Radiographers. June 20. 1991 20 Part 0
- Standards for Protection Against 56 FR 23360 Radiation.
56 FR 61352 - 57 FR 57877 58 FR 67656 59 FR 41M1 60 FR 20183 October 15. 1991 20.30.31 Part C. D
- Notification of Incidents.
56 FR 64980 34.39.40 70 January 27. 1992 35 Part G *0uality Management Program and 56 FR 34104 Misadministrations.
- Compatibility Item.
*** Federal Register Notice citations have been added for regulations effective in 1990.
l-9 l Effective Date 10 CFR Part Reaulations' Summary l October 2, 1992 30 Part G Eliminating the recordkeeping l 57 Frs 45566 35 requirements for departures from ' manufacturer's instructions. July 1. 1993 36 Parts C. D
- Licensing and Radiation Safety l 58 FR 7715 Requirements for Irradiators.
July 22. 1993 61 Part M
- Definition of land disposal 58 FR 33886 and waste site OA program.
October 25. 1993 30, 40 Part C
- Decommissioning recordkeeping 58 FR 39628 d3Cumentation of restricted areas and spill sites. ,
January 28. 1994 30.40 Part C *Self-Guarantee as an additional i 58 FR 68726 70 financial mechanism. 59 FR 1618 l July 1. 1994 40 Part C
- Uranium Mill Tailings :
59 FR 28220 Regulations: Conforming NRC l Requirements to EPA Standards. ; August 15. 1994 30.40 Part C
- Timeliness in Decommissioning of I material facilities.
59 FR 36026 70 January 1, 1995 30.32 Part C. G
- Preparation. Transfer for 59 FR 61767 35 Commercial Distribution and Use 59 FR 65243 of Byproduct Material for Medical' 60 FR 322 Use.
March 13. 1995 20 Part P
- Frequency of Medical 60 FR 7900 Examinations for Use of Respiratory Protection Equipment.
l March 1. 1998 20.61 Part D. M
- Low-Level Waste Shipment 60 FR 15649 Manifest Information and 60 FR 25983 Reporting.****
June 30. 1995 34 Part E
- Performance Requirements 60 FR 28323 for Radiography Equipment.
- Compatibility Item.
**** Agreement States should promulgate no later than March 1. 1998 (See SP-95-086)
1 l 10 Effective Date 10 CFR Part Reculations 1 Summary I August 14. 1995 19.20 Part D. J
- Radiation Protection ,
60 FR 36038 Requirements: Amended Definitions and Criteria. 1 November 24, 1995 30.40 Part C
- Clarification of Decommissioning 60 FR 38235 70 Funding Requirements.
April 1.1996 71 Part T *10 CFR Part 71: Compatibility , 60 FR 50248 with the International Atomic 61 FR 28724 Energy Agency. October 20, 1995 20.35 Part A D
- Medical Administration of l FR 48623 G Radiation and Radioactive Materials.
. 1 1 January 16, 1996 30.40 Part C One Time Extension of Certain 61 FR 1109 70 Byproduct. Source and ; Special Nuclear Materials ; Licenses. 1 May 16. 1996 20.30 Part C. D
- Termination or Transfer of 61 FR 24669 40,61 M Licensed Activities:
Recordkeeping Requirements. 70 January 9, 1997 20 Part D
- Resolution of Dual Regulation l
, 61 FR 65119 of Airborne Effluents of Radioactive Materials: Clean Air Act January 13, 1997 150 Part C
- Recognition of Agreement State i 62 FR 1662 Licenses in Areas Under i Exclusive Federal Jursidiction i Within an Agreement State January 29, 1997 20.35 Part D, G
- Criteria for the Release of 62 FR 4120 Individuals Administred Radioactive Material
- Compatibility Item.
NUREG-1274 2 l Review Process for Low-Level Radioactive Waste Disposal License Application Under : 4 Low-Level Radioactive Waste l Policy Amendments Act l ) i ! U.S. Nuclear Regulatory ! l . Commission , Offico of Nuclear Material Safety and Safeguards a ! C. L. Pittiglio, Jr. ( ; l w . y\,p* **c. !*%
% -{ h. ' ,! / ' j
)
~Y.N~:
i 1 j Reprinted April 1991 i i l I i i
9-AVAILABILITY NOTICE
'f.
Availability of Reference Materials Cited in NRC Publications l. Most documents cited in NRC publications will be available from one of the following sources: 1. The NRC Public Document Room, 2120 L Street, NW, Lower Level, Washington, DC 20555 2. Tha Superintendent of Documents, U.S. Government Printing Office, P.O. Box 37082, Washington, DC 20013 7082 :
- 3. The National Technical information Service, Springfield, VA 22161 Although the listing that follows represents the majority of documents cited in NRC publica-tions, it is not intended to be exhaustive.
Referenced documents available for inspection and copying for a fee from the NRC Public Document Room include NRC correspondence and internal NRC memoranda; NRC Office of Inspection and Enforcement bulletins, circulars, information notices, inspection and investi-i gation notices; Licensee Event Reports; vendor reports and correspondence; Commission papers; and applicant and licensee documents and correspondence. The following documents in the NUREG series are available for purchase from the GPO Sales Program: formal NRC staff and contractor reports, NRC-sponsored conference proceed-ings, and NRC booklets and brochures. Also available are Regulatory Guides, NRC regula-tions in the Code of Federal Regulations, and Nuclear Regulatory Commission issuances. Documents available from the National Technical information Service include NUREG I reports and technical reports prepared by other federal agencies and reports prepared by ! the Atomic Energy Commission, forerunner agency to the Nuclear Regulatory Commission. Documents available from public and special technical libraries include all open literature items, such as books, journal and periodical articles, and transactions. Federal Register notices, federal and state legislation, and congressional reports can usually be obtained from these libraries. Documesnts such as theses, dissertations, foreign reports and translations, and non-NRC
- conferena prrteedings are available for purchase from the organization sponsoring the publication cited.
Single copies of NRC draft reports are available free, to the extent of supply, upon written request to the Office of information Resources Management, Distribution Section U.S. .: Nuclear Regulatory Commission, Washington, DC 20555. Copies of industry codes and standards used in a substantive manner in the NRC regulatory - process are maintained at the NRC Library, 7920 Norfolk Avenue, Bethesda, Maryland, and are available there for reference use by the public. Codes and standards are usually copy-righted and may be purchased from the originating organization or, if they are American National Standards, from the American National Standards Institute,1430 Broadway, New York, NY 10018.
NUREG-1274 a Review Process for Low-Level Radioactive Waste l
- Disposal License Application Under Low-Level Radioactive Waste
! Policy Amendments Act i Minuscript Completed: July 1987 Dite Published: August 1987 C. L. Pittiglio, Jr. Division of Low-Level Waste Management and Decommissioning Office of Nuclear Material Safety and Safeguards U.S. Nuclear Regulatory Commission , Washington, DC 20555
,p ~..u,
ABSTRACT This document describes the U.S. Nuclear Regulatory Commission's (HRC's) process l for licensing a low-level radioactive waste disposal facility within the time required by the Low-Level Radioactive Waste Policy Amendments Act of 1985. This document also estimates the level of effort and expertise that is naeded to review , a license application within the required time. It is intended te be used by l the NRC staff as well as States and interested parties to provide a better
- understanding of what the NRC envisions will be involved in licensing a low-
! level radioactive waste disposal facility. l I l l l I l l i l l l [ 1 i NUREG-1274 iii
f r. TABLE OF CONTENTS
.P. age ABSTRACT................................................................. iii ;
1 INTRODUCTION ...................................................... 1 l 2 TENDERED APPLICATION .............................................. 1 1 3 DOCKETING 0F APPLICATION .......................................... 2 4 REQUEST TO PARTICIPATE IN NRC'S LICENSE REVIEW .................... 3 3 i 5 SAFETY EVALUATION REPORT AND ENVIRONMENTAL IMPACT STATEMENT ....... 5.1 Preparation for Review ....................................... 4 5.2 Saf ety Eval uati on Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 5.3 Environmental Impact Statement ............................... 5 i 6 PUBLIC HEARING PROCESS ............................................ 6 7 ISSUANCE OF A LICENSE ............................................. 7 8 REFERENCES ........................................................ 8 ! APPENDIX -
SUMMARY
OF REGULATORY ROLE OF AGREEMENT STATES IN LICENSING A LOW-LEVEL RADI0 ACTIVE WASTE DISPOSAL FACILITY ............. 13 l l l l 1 1 i , I I l l l ! l l 1 l i-i I ! i l
)
l i l I a
=
l
- i i
I NUREG-1274 v l i I _,.
1 INTRODUCTION The U.S. Nuclear Regulatory Commission (NRC) is the Federal agency that has the responsibility for licensing commercial low-level radioactive waste disposal facilities for Non-Agreement States. In addition, the Low-Level Radioactive Waste Policy Amendments Act (LLRWPAA) of 1985 requires that the NRC establish procedures and develop the technical capability to process the license applica-tion for a low-level radioactive waste disposal facility and to complete the j review (except licensing hearing) of the application, to the extent practicable, within 15 months of its receipt. This 15-month period begins once the applica-tion has been found acceptable for docketing (see Figure 1). The NRC staff's review includes (1) the evaluation of an applicant's Safety Analysis Report (SAR) and the issuance of a draft and final Safety Evaluation Report (SER) and (2) the evaluation of an applicant's Environmental Report (ER) and the issuance of a draft and final Environmental Impact Statement (EIS). The preparation of the SER and EIS will take place concurrently. This document (1) identifies the resources, personnel, and disciplines that the i staff believes are needed to evaluate both the SAR and the ER and (2) defines the stages necessary to complete the review within the required 15 months. The 15-month review required by the LLRWPAA begins with the docketing of the license application. To meet the 15-month mandatory review of the license application, the applicant will also be required to provide a timely response to NRC's requests. This includes the exchange of information between the staff and the applicant that starts as soon as the review begins and continues for the entire 15 months as well as the formal request for additional information. The 15-month review does not take into consideration any special licensing steps or additional time that might be necessary if joint permitting and licensing are required. In addition, this NUREG provides the rationale and regulatory basis for the various license review stages. l For Agreement States, a State agency performs this regulatory function. The appendix provides a discussion of the role of Agreement States in the licensing process. Parts 2 and 61 of Title 10 of the Code of Federal Regulations (10 CFR) I define the licensing process for the NRC. For Agreement States, regulations l compatible with 10 CFR 61 must be developed; however, the administrative proce-dure for processing a license application is not a matter of compatibility and l may differ from the process presented herein. ! 2 TENDERED APPLICATION i I The licensing process begins when the applicant submits a license application i to the NRC for review; one signed original and two copies of the license ! application must be provided. Along with the required copies of the license application, remittance of the applicant's fee as directed by 10 CFR 170 is required. The license application initially will be treated as a tendered document and will be assigned a tentative docket number. A copy will be avail-able for public inspection in the Commission's Public Document Room 15 at NUREG-1274 1
1717 H Street NW. Washington, DC (10 CFR 2.101(g)). In addition, on receipt of a tendered application, the NRC will publish, in the Federal Register, a notice of the filed application (10 CFR 2.101(g)(1)(i)). The Federal Register notice provides an opportunity for interested persons to submit views and - comments on the tendered application for consideration by both the NRC and the applicant. At the same time, the NRC will notify appropriate Federal, State, tribal, and local officials and governing bodies (10 CFR 2.101(g)(1)(ii)). The NRC is also required (10 CFR 2.101(g)(1)(ii)) to post a public notice in general-circulation newspapers in the affected States and regions summarizing the information in the tendered application and noting the opportunity to submit public views and comments. Once an application has been tendered, it will be judged for completeness on the basis of the minimum information required to begin a detailed review. The determination of completeness will be made within a 30-day period; the adminis-trative process is defined in 10 CFR 2.101(a)(2). Completeness will be deter- ; mined, as part of the acceptance review, by a rapid " reading /screering" of the i entire application and by comparing the submitted application with (1) the subject headings in Subpart B of 10 CFR 61 and NUREG-1199, " Standard Format and Content of a License Application for a Low-level Radioactive Waste Disposal Facility," and Regulatory Guide (RG) 4.18, " Standard Format and Content of Environmental Reports for Near-Surface Disposal of Radioactive Waste," and (2) l the tables of contents in NUREG-1200, " Standard Review Plan for the Review of a l License Application for a Low-Level Radioactive Waste Disposal Facility," and j NUREG-1300, " Environmental Standard Review Plan for the Review of a License ; Application for a Low-Level Radioactive Waste Disposal Facility." Although ' such a review is preliminary in nature, it will be performed by the technical experts who later will participate in the more detailed review. Whether or not the tendered application is acceptable depends primarily on whether pertinent matters have been addressed and not on whether the applicant's approach to resolving these matters is acceptable. Making determinations about the latter is the primary objective of the review and evaluation process after the application has been accepted. The acceptance review is performed on all documentation included in the application. After the application has been reviewed for completeness and has been found acceptable for docketing, a docket number will be assigned and the applicant will be notified by the Director of the Office of Nuclear Material Safety and Safeguards (NMSS), NRC. However, if it is determined that any part of the tendered application is incomplete and unacceptable for docketing, the applicant will be so informed and will be provided with a listing of the deficient areas (10 CFR 2.101(g)(iii)). 3 DOCKETING OF APPLICATION Once the staff has determined that a license application is acceptable for docketing, the applicant will be required to provide a copy to the chief executive of the municipality where the disposal facility is to be located, and distribute additional copies to Federal, State, local, and Indian tribe officials including chief executives of governing bodies of municipalities or counties that have been identified in the application as the alternative site locations. The applicant will have 10 days after formal docketing to submit to the Director of NMSS a
- NUREG-1274 2 l
l
written statement that the above additional copies have been distributed (see Figure 2). At the time of formal docketing, the Director of NMSS will publish in the Federal i Register a notice of docketing that will identify the State and location of the proposed waste disposal facility and will give notice to the Governor of that State and other officials as required by 10 CFR 2.101(g)(3). J 4 REQUEST TO PARTICIPATE IN NRC'S LICENSE REVIEW ] Once an application has been formally docketed, the 15-month review required by
- LLRWPAA will begin, and at the same time a State or tribal governing body whose interests will be affected by a disposal facility at the proposed site may sub-
- mit to the Director of NMSS a proposal for participation in the review of the license application. The proposal must be submitted in writing and signed by ,
- the Governor of the State or the official otherwise designated by the State or '
l tribal law. For the State in which the disposal facility will be located, or ! any State that is a member of an interstate compact that includes the State in , which the proposed facility will be located, a participation proposal must be
- submitted no later than 45 days following publication in the Federal Register i of the notice of the tendering of an application (10 CFR 61.72). For any other State, or for a tribal governing body, a proposal must be submitted no later
, than 120 days following publication in the Federal Register of the notice of the j tendering of the application. The time allowed for submitting proposals to
- participate in the review process will allow all parties to wait until the NRC 4
staff has determined that an application is complete before they formally j request to participate in its review. The minimum information that must be contained in a request to participate in a license application review is listed in 10 CFR 61.72(c). Once the Director of NMSS has received a proposal submitted j in accordance with 10 CFR 61.72, that official will arrange a meeting with representatives of the State and tribal governing bodies to discuss the proposal I and to ensure full and effective participatian h the NRC's license review
- process. NRC approval of the proposal to participate in the review will be l made by the Director of NMSS, and the decision by the Director will be transmitted in writing to the Governor or the designated official of the tribal governing body as required by 10 CFR 61.73.
f 5 SAFETY EVALUATION REPORT AND ENVIRONMENTAL IMPACT STATEMENT ) Once the application has been formally docketed, the NRC staff will begin its j review of the license application, which includes both the Safety Analysis
; Report (SAR) and the Environmental Report (ER). The reviews of the SAR and ER ] will be conducted concurrently, and the review procedures as well as the content l of the SAR and ER are dictated by technical requirements. The NRC staff.has developed NUREG-1200 and NUREG-1300, which provide specific guidance on the type and format of the information to be presented in both the SAR and ER. NUREG-1199 and RG 4.18 provide additional guidance on what should be included in the docu-ments. If the principal reviewers have not been able to visit the proposed site, a site visit will be scheduled shortly after the application has been docketed.
It is currently estimated that the concurrent review of both of these documents will require an NRC staff effort of approximately 8 staff years encompassing i approximately 22 technical disciplines. Although it is not necessary that the ! NUREG-1274 , 3
- - - . .. . - - - - - - - _ _ - - - . - - - - - . . - = - entire staff have licensing experience, it is necessary that the principal reviewers have licensing experience in addition to their required technical expertise. The technical staff should have expertise in geology, hydrology, surface water hydrology, seismology, nuclear engineering, materials engineering, biology, sociology, meteorology, soils engineering, structural engineering, operations / construction engineering, health physics, geochemistry, performance ' assessment, environmental engineering, quality assurance, financial assurance, law, and licensing project management. Although not all of the participants will be working on the review continuously over the entire 15-month period and some specialists may only require a few staff-weeks of effort, at various stages all of the technical specialists in the various disciplines will have to work on the review concurrently. Table 1 provides a detailed listing of the disciplines and the basis for the estimated level of effort of 8 staff years. These estimates are based on the assumption that the license application will adhere closely to the guidelines provided in the NUREG reports discussed above and that the NRC staff will have low-level waste regulatory experience before it starts its review. Any change from the NRC-recommended format or content will require an evaluation to determine the effect on the staff's ability to process the license application in 15 months. To be able to make a determination that the 10 CFR 61 requirements are being met, the staff estimates that 70 ;. Avidual findings must be made for the safety review alone. These findings are listed in NUREG-1200. A similar number of findings must be made for the environmental review. The estimated number of findings for the safety review is based on each technical area for which a finding must be made; for each area a principal reviewer with a specific expertise will be assigned. Some of the findings of a particular s eion will be used in other areas of the review and must be completed before the other reviews are initiated. In addition, although a primary reviewer will be assigned to re' view a particular SAR/SRP section, that reviewer may also have secondary review responsibilities for other sections of the SAR/SRP. This, type of organization is typical for both the safety and environmental reviews. Once both the SAR and ER have been reviewed, the NRC staff will issue the results in a draft and final Safety Evaluation Report (SER) and a draft and final Environmental Impact Statement (EIS), respectively. The total amount of time allowed for both the SAR and ER reviews is 15 months as mandated by the Low-Level Radioactive Waste Policy Amendments Act (LLRWPAA) of 1985. 5.1 Preparation for Review To ensure that it is ready to review the applicant's SAR and ER, the NRC staff will undertake the following activities well in advance, if possible, of the actual receipt of an application: (1) obtain a working knowledge of NUREG-1199 and Regulatory Guide 4.18, the standard format and content guides for the SAR and ER, respectively, and NUREG-1200 and NUREG-1300, the standard review plans for the SAR and ER, respectively, in the areas of their technical responsibility; (2) contact Federal, State, local, and tribal officials who also will be involved in the SAR and ER review process; (3) identify and review any new and/or addi-tional data determined to be potentially significant to NRC's review; and (4-) to the et. tent practicable become familiar with the contents and issues of the SAR and El before the documents are received through early and ongoing interaction with 9.he applicant. To the extent practicable, the primary reviewers will visit the proposed disposal site. NUREG 1274 4
c -- - -.__ - _ i E l 1
- 5. 2 Safety Evaluation Report
- In the SER the staff will address and make determinations on issues such as {
j' (1) long-term radiation doses, (2) conformance with site suitability require-
- ments, (3) conformance with site design, (4) conformance with facility opera-i tions and closure requirements, and (5) any additional information provided by the applicant in response to NRC written requests. In addition, the staff will i include determinations of the following
- (1) acceptability of land ownership, (2) acceptability of institutional controls, (3) acceptability of financial
- assurances, and (4) license conditions. In the SER the staff will provide its j view on the extent to which the application complies with 10 CFR 61. ] The NRC staff's assessment will be contained in a DSER that will be issued ] t approximately 8 months after the license application is docketed ad will be l l noted in the Federal Register with an accompanying request for coments within l i 45 days. ! Because the staff will not issue the DSER until 8 months after the application is docketed, those parties who waited the 120 days from the time the applica-tion was tendered before they submitted a request to participate in the license review will have adequate time to ensure that they will be able to actively participate in the review. A 45-day public comment period has been established to allow any member of the public to comment on the staff's analysis of the SAR. Following the analysis of public comments, the NRC staff may request that the applicant provide any additional information necessary to respond to these , comments. The NRC staff will make its request for additional information, if ) necessary, within 45 days after the close of the comment period. The applicant will have 30 days to respond to this request for additional information and to provide additional site analysis data, if required. The NRC staff will also make formal written requests for additional information from the applicant 2 and 5 months after the application is docketed. Addi-tional requests may also be made if the applicant's responses are inadequate. The NRC staff will require a timely response (30 days) to these written requests l in order to ensure that major issues are addressed and the DSER is on schedule. Approximately 90 days after closure of the comment period on the DSER, the NRC staff will begin preparing a final SER. In summary, the SER will contain the i staff's findings on the applicant's (1) qualifications, (2) compliance with the l performance objectives of 10 CFR 61, (3) compliance with the technical require-ments of 10 CFR 61, (4) compliance with financial and institutional standards, (5) compliance with the requirements of 10 CFR 70 and 73 regarding special nuclear material and safeguards, and (6) license conditions. NUREG-1200 provides guidance on the type of findings the NRC staff will make. Although the above estimated time peri.ods for review are not mandated in the regulations, they represent NRC's "best" estimates for each phase of the review so that the license review can be completed within 15 months as dictated by the LLRWPAA (see Figure 3). 5.3 Environmental Impact Statement The NRC staff's issuance of a license for a low-level radioactive waste disposal facility is considered to be a major Federal action significantly affecting the NUREG-1274 5
. -. -.- - - . - - _ _ - . - . - . _ - - ~. .. quality of the human environment and therefore requires the preparation of an Environmental Impact Statement (EIS) as mandated by the National Environmental l Policy Act of 1969 (NEPA). In the EIS, the NRC staff will assess the environ- ! mental effect of the proposed disposal facility on its surroundings and examine . potential alternative actions. The procedures for the preparation of an EIS are specified by NRC's regulations on environmental protection (10 CFR 51), which are based on the Council on Environmental Quality's regulations (40 CFR ) j 1500-1508). Before the EIS is prepared, the Director of NMSS will issue a Notice of Intent that will be published in the Federal Register as directed by 10 CFR 51.26. The content of Lae Notice of Intent is dictated by 10 CFR 51.27. At the same time, the NRC staff will begin its scoping activity to identify the issues as set forth in 10 CFR 51.29. 10 CFR 51.28 defines who will participate in the scoping process with the NRC staff. The NRC staff will then prepare an analysis of the effects of licensing the disposal facility and of alternative actions. i For this analysis, the staff will use the information and analyses in the applicant's Environmental Report, but because the NRC staff must make an independent assessment, information and analyses from other sources may also be considered. The NRC staff may also formally request in writing additional l information from the applicant if required to prepare the DEIS. l The NRC staff's assessment will be contained in a DEIS that will be issued 8 months after the application is docketed and will be noted in the Federal Register with an accompanying request for comments within 45 days as directed by 10 CFR 51.73. The DEIS is issued for review by the public and other agencies, States, and groups. The content of the DEIS is directed by 10 CFR 51.70 and 51.71. Regulatory Guide 4.18 and NUREG-1300 provide additional guidance on what will be included in the DEIS. The DEIS and the DSER will be developed at the same time. On the basis of the comments that will be received on the DEIS, the NRC staff will revise the document and issue a final EIS, which will contain the NRC staff's conclusions and recommendations regarding the proposed action. The NRC staff may formally request in writing additional information from the applicant if required to resolve issues raised during the comment period. Just as with the development of the DSER and the SER, the development of the DEIS and the EIS will require continuous communication and exchange of information with the applicant from the initiation of the review. To complete the review in the mandated 15 mocths, a timely response by the applicant to the NRC staff's requests will be required. 6 PUBLIC HEARING PROCESS NRC's licensing process offers several opportunities for interested parties to request a hearing (10 CFR 2.104). If no requests are received, the NRC has the option of holding hearings or evaluating the license solely on the basis of administrative review (10 CFR 2.105(e)(1)). The procedures for issuance or denial of a license without a hearing are defined in 10 CFR 2.108. NUREG-1274 6
. The purpose of the public hearing process is to provide those parties who have met the requirements for participation in the hearing an opportunity to pre-sent their views on specific areas of the proposed licensing action as well as to provide a forum where the applicant and the NRC staff can present their findings and conclusions. Also, intervenors can present their evidence that challenges or supports the applicant's and the NRC staff's conclusions. In addition, the hearing offers other members of the public an opportunity to present a statement regarding the licensing action. The process that occurs before a public hearing determines the scope of hear- l ings and who may participate. Following a notice of a public hearing in the l Federal Register as required by 10 CFR 2.105(d), any person whose interest is ! affected by the proceeding and who has a desire to participate can file a ' written petition to intervene (10 CFR 2.105(d)(2)). To be admitted to the hearing process, a party must have a valid issue. Parties admitted to the hearing have a right to generate evidence through various methods of discovery. The discovery process is the seeking of information, directly related to the staff's review and evaluation of the application, through the deposition, inter-rogatory, and document production routes. Intervenors are provided copies of correspondence to the applicant during the course of the proceeding. It is the Commission's policy and practice to begin the public hearing in the l vicinity of the site of the proposed facility. However, if all parties agree, I all hearing sessions can be held in Washington, DC. ' Each party will have an opportunity to present its views and/or present any evidence it may have in support of those views before the Atomic Safety and Licensing Board (ASLB). The ASLB appointed to conduct the hearing consists of three members, one of whom is qualified in the conduct of administrative proce-dures, and two of whom have qualifications appropriate to the issues to be decided. The ASLB will make the initial decision on the basis of the evidence presented and the hearing record. Appeals of the initial decision can be made within a specified period and will be considered by the Atomic Safety and Licensing Appeal Board and alternatively by the NRC. 7 ISSUANCE OF A LICENSE Following a favorable decision by the ASLB if a hearing is held, the Director of NMSS will issue a Notice of Intent to issue a license in the Federal Register. If there is no hearing, the Director of NMSS will also issue a Notice of Intent to issue a license in the Federal Register. The notice will summarize the con-clusions of both the SER and EIS and provide access to all documents and records associated with the decision. Thirty days following publication of the notice, a Notice of Issuance summarizing the licensing action will be published in ihe Federal Register concurrently with the actual issuance of the license. License approval will necessarily require that (1) appropriate news releases are made, (2) copies of the license are provided to the appropriate chief
. executives and State and tribal officials, and (3) copies are provided to the U.S. Environmental Protection Agency and other appropriate Federal agencies.
Finally, the Directo 9f NMSS will issue a license, which must be expressly authorized by the Co;.aission (10 CFR 2.765), to the disposal site operator for the receipt, possession, and disposal of low-level radioactive wastes. NUREG-1274 7
8 REFERENCES Code of Federal Regulations, Title 10, " Energy," Chapter 1, Nuclear Regulatory Commission, Parts 0 to 199, U.S. Government Printing Office, Washington, DC, . revised annually. I U.S. Nuclear Regulatory Commission, NUREG-1199, " Standard Format and Content of a License Application for a Low-Level Radioactive Waste Disposal Facility," January 1987. -- , NUREG-1200, " Standard Review Plan for the Review of a License Application for a Low-Level Radioactive Waste Disposal Facility," January 1987. -- , NUREG-1300, " Environmental Standard Review Plan for the Review of a License Application for a Low-Level Radioactive Waste Disposal Facility," April 1987. j -- , Regulatory Guide 4.18, " Standard Format and Content of Environmental Reports for Near-Surface Disposal of Radioactive Waste," June 1983. 1 I l l l l
'l NUREG-1274 8
4 E A a FIGURE .1: NRC PROCEDURES FOR REVIEWING A 3 LICENSE APPLICATION FOR A LOW-LEVEL RADIOACTIVE WASTE DISPOSAL FACILITY UNDER LLRYPAA (n m. in ..i.n .e 4.v.) i 30 10 80 150 V U so 7 U Application Application Statement Deadline for Rooelpt Notloo of i Flied and Docketed and of of Proposal to Avallebility Tendered NRC Review Completed Portfolpote In the of Begins Distributton License Appilaatton Review DSER and DEIS i 45 30 90 45 U U U t Close of Publio Comments Deadline for Final SER and EIS : Pubito Analyzed and Appiloont's Response issued and - Comment Additional Info to Staff's Request Determination l Period on Requested from for Additional Mode if Hearing : DSER and DEIS Applicant Information in To Be Held ) i
FIGURE 2: NRC PRSCEDURES FOR j TENDERING AND DOCEETING A LICENSE APPLICATION 8, FOR A LOW-LEVEL RADIOACTIVE WASTZ DISPOSAL FACILITY H y (ttmo in eetender deys) b Applicotton Filed Application Statement of ; and Tendered Docketed and Completed NRC Revtew Begins D!stributton 30 10 Start
)
i f '
/
ortstnet plus two eeples pleoed in pubtle document reem Addttlenet esples preytded Nettee of evelleblttty Nettee of evetlebfttty "vd *n *ht*f H punnehod in the ereeuttve et o ww etternettve altee O o Oevemore, legleteters, end Stete. eeunty. Nottee of doekettng i muntelpet, and trtbet pubtlehod in efftelete nettfled W Akyubsty-O O , I Nettee of doeksting ! Pubtle nettee le posted served me govemers. legiofeters, ete. O o f Copy served on ehtet MRC determinee that exeeuttve of eppfleetten to muntelpettty/eeunty eteeeptebte l I O t Usense oppiteetten Co#feetten thet Federe docume dichtbuted er Stete Devemment wtgg j eseume roepenstbfttty O
=
Assurenee thet funde will be evetteble for desemmteelening I i l -
. . . i
.7.._s._.._____.._ , , .
2 FIGURE 3: OVERVIEW OF NRC'S INTERNAL g STEPS FOR REVIEWING A LICENSE APPLICATION 8 AND ISSUING A SAFETY EVALUATION REPORT (SER)
$ AND AN ENVIRONMENTAL IMPACT STATEMENT (EIS) '
x (Mme in eelender days) 30 15 15 30 30 15 7 i O A A A A A ' Application Appilcation Management ist Formal Applicant Additional j Docketed & Review Comments Provides Request to Responda Review Comments ! NRC Review Provided to Comments AppIIcont for Provided to . Management ! Begins Management Additional Information f 15 30 45 15 A 45 A 30 p i V A A A A V , Management 2nd Formal Applicant Staff Develope Notice Close of ' Provides Request to Responde DSER & DEIS Availabllity Pubtle Comment Comments AppIIcont for & Submits to of Draft Perfod on ! Additional Management SER & EIS DSER & DEIS j informatfon } l 30 45 15 30
~
( 8 7 A A A A Staff Analysts Management Rwuest AppIIcont Staff Management Final , of Public Provides Ade ltlonal Responde Develope Completes SER & EIS i Commente Comments Infotmation Final SER Review leeued ! Submitted for from AppIleant & EIS i Management Review [ i I i a f
Table 1 Staffing requirements for licensa review (in staff-werks) z kcp Analyze public comments and work y with applicant on w Issue draft additional informa- Issue final Staff SER and EIS* tion required ** SER and EISt Total Licensing Project Manager (SER) 32 13 16 61 Licensing Project Manager (EIS) 32 13 16 61 Geologists 8 1 7 l'd Hydrogeologists 8 1 7 16 Surface Water Hydrogeologists 11 2 10 23 Soils Engineers 8 2 5 15 Structural Engineers 6 1 4 11 Operations / Construction Engineers 6 1 4 11 Health Physicists 14 2 8 24 Environmental Engineers 14 2 8 24 Materials Engineers 10 2 7 19 U Nuclear Engineers 7 1 4 12 Seismologists 8 1 6 15 Biologists 3 1 2 6 Climatologists / Meteorologists 4 1 3 8 Sociologists 3 1 2 6 Quality Assurance Specialists 7 2 5 14 Geochemists 5 1 4 10 Performance Assessment Specialists 21 5 13 39 Financial Assurance Specialists 8 1 6' 15 Lawyers 5 2 3 10 Total staff effort (staff-weeks) 2 26 E6 140 416
" Length of time - 32 weeks
** Length of time - 13 weeks tLength of time - 16 weeks
, e e
4 i> APPENDIX 4
SUMMARY
OF REGULATORY ROLE OF AGREEMENT STATES IN LICENSING A LOW-LEVEL RADI0 ACTIVE WASTE DISPOSAL FACILITY In 1959, Section 274 of the Atomic Energy Act was amended to provide a role for
- States in the regulation of nuclear materials and a statutory basis under which the NRC would discontinue and the States could assume, through agreements, certain NRC regulatory authority. The 1959 amendment made it possible for the States to regulate byproduct material, source material, and small quantities of special nuclear material, including the disposal of such material j J. '
! The mechanism for the discontinuance of the Commission's regulatory authority , is an agreement between the Governor of a State and the Commission. To par- l ticipate in the Agreement State program, a State must establish authority to i conduct a radiation control program in the form of legislation and must imple- i , ment the authority through State regulations. An interested State must promulgate regulations that will provide the standards and rules for licensing, ! inspection, and enforcement. It must establish a radiation control program ' within the overall State organization. The program must be able to effectively compete with other health and safety programs for budget and staff. The staff to conduct the program must consist of a sufficient number of trained personnel. < The State must also establish an acceptable licensing and compliance program. 2 Before entering into an agreement, the Commission is required to make a finding that the State's radiation control program is compatible with that of the Commission and is adequate to protect the public health and safety. Under an agreement, the State has the authority to regulate the materials covered by the agreement and may opt whether or not to regulate low-level waste disposal in , permanent disposal facilities. The NRC retains no regulatory authority over the specific activities authorized by an. individual Agreement State license. The NRC conducts onsite, indepth reviews of each State program at intervals of 12 to 18 months, which cover organization, administration, personnel, regula-tions and legislation, licensing, compliance, and enforcement. In addition, the NRC provides radiation safety training and technical assistance to the States. At the present time there are 29 Agreement States. l As part of the Agreement State program, the NRC identifies which of its new regulations or revisions are considered matters of compatibility. On December 27, 1982, the NRC promulgated its regulations on low-level waste',
. 10 CFR 61, " Licensing Requirements for Land Disposal of Radioactive Waste."
10 CFR 61 provides licensing procedures, performance objectives, and technical requirements for the issuance of licenses for the land disposal of low-level radioactive waste. The performance objectives and the technical aspects of this regulation are considered matters of compatibility. Thus, the Agreement States and the NRC are implementing'a consistent nationwide regulatory program j for low-level waste disposal. i l ll I iiUREG-1274 13 I
_ _ _ _ _ . _ _ _ _~. _. .__. _ t The requirements of the National Environmental Policy Act of 1969 (NEPA) are not a matter of compatibility. However, each Agreement State will prepare an assessment that will evaluate environmental issues on the basis of its own equivalent to NEPA. - The licensing process will differ from Agreement State to Agreement State because this aspect of 10 CFR 2 and 61 is not a matter of compatibility. It should be noted, however, that Section 9 of the Low-Level Radioactive Waste Policy Amendments Act required that the regulatory agencies (either the NRC or, as appropriate, the Agreement State) establish procedures and develop the tech-nical capability for processing license applications by January 15, 1987. These procedures were to provide, to the extent practicable, for the completion of all processing and reviews, except for the licensing hearing, within 15 months after receipt of an application. During the reviews of Agreement State programs, the NRC will evaluate the procedures, staffing, regulations, and technical capability of host States or those that anticipate becoming host States. e NUREG-1274 14
I g,*oaM = u.1ucamizutarO., co- .ON , o0 1 NvMei a .. . noC . - 4. <. > , Lo$'# Bl8LIOGRAPHIC DATA SHEET NUREG-1274 ses imaravCrio= oN 1 e naviane ; ) 2 TITLE AND $USTITLE 3 Lgeva agANn Review Process for Low-Level Radioactive Waste Disposal License Application Under Low-Level ! ' Radioactive Waste Policy Amendments Act ,,,','""""'"",,,, [;
. .v'aoain' July 1987 l 6 oA TE mtPOR145Svto MONT- vtAR C. L. Pittiglio, Jr.
August 1987 F #%e.f D#MaNG Om0ANi2 AleON NAMt AND MaaLiNG ADontS5,sare w er te camp a PmOJECT;T ASK '.Omn UNIT NUM.E R Division of Low-Level Waste Management & Decommissioning ,,,,,,,,,,,,,,,,,,, Office of Nuclear Material Safety and Safeguards U.S. Nuclear Regulatory Commission Washington, DC 20555 j 10 Sv0N50 ming ORGANQ AflON NAMt AND MAILING ADDatES passweele Cases tia Yvrt OF REPORT Technical
'"""'"'"""'~~"'"'
Same as 7. above. < I 12 SuvfLEMENT Amy NOTED es ressnACs ax.~,e w I This document identifies and describes the U.S. Nuclear Regulatory Commission's (NRC's) process for licensing a low-level radioactive waste disposal-facility within the time required by the Low-Level Radioactive Waste Polic'y Amendments Act of 1985. This document also estimates the level of effort and expertise that is needed to review a license application within the required time. It is intended to be used by the NRC staff as well as States and interested parties to provide a better understanding of what the NRC envisions will be involved in licensing a low-level radioactive waste
' disposal facility.
i I
.. ooCvM NrANA6v..... . ..O oi.o .C..,1o..
,. p,A,,g.gr .
low-level waste l licensing low-level waste facility Unlimited 16 SECURITY CLASSiFICATioh tin. enges
. .o Nv,.....,onN No o n Ms Unclassified o r.. ,
Unclassified i,NuM...O.,AGi
, . .. . a i
O f a j e e 9 THIS DOCUMENT WAS PRINTED USING RECYCLED PAPER
. s ._
7 U.S. Water Resources Council i FLOODPLAIN t MANAGEMENT . GUIDELINES For Further Information
Contact:
U.S. Water Resources Council , 2120 L Street, N.W. Washington, D.C. 20037 For Implementing (202) 254-6352 E.O.11988 i g* l 43 FR 6030 February 10,1978 a,p s r= vi a va et m n. m ww 6055 d
- taire.i ne a trehr. Fehn. y so, t9* (Reprint) l
f .O [8410-41) Flood Neeard Et'aluaffon, represent-ed Presidential recognition that WATER RESOURCES COUNCE structural flood control measures ytocortageasAleAegae00eT alone were inadequate to stem rising flood losses. It was followed by es-8u8d88m* b ^ . ~^ . Emeu% Onter tablishment of flood insurance, di-11988 saster assistance and related Federal
' programs, and some State and local AGENCY: Water Resources Council. government floodplain management ACTION: Notice of Guidelines programs. Yet, a decade later.
Adoption. annual flood losses were estimated
SUMMARY
- This notice incorpo. to approach $3 billion and continu-rates the Ouldelines for Implement. IngIntothe rise.decade following Executive Ing Executive Order 11988-Flood. Order 11296, there developed wide-plain Management adopted by the Water Resources Council on Janu. spread recognition and beneficial values of floodplains, that the natural ary 25,1978 to assist Fvderal agen.
cles in preparation of their regula. wetlands and coastal barrier Islands tions and procedures for implement. must be restored and preserved. Thus, on May 24.1977, the President Ing the Order. issued a comprehensive environmen-FOR FURTHER INFORMATION tal message accompanied by Execu-CONTACT: tive Order 11988-Floodplain Man-Frank H. Thomas. Floodplain seement, to replace the 1966 Order. Management Specialist, Policy Di- The new order is a significant policy vision. U.S. Water Resources Coun- Initiative tying together the need to cil, 2120 L Street NW., Washing- protect lives and property with the ton. D.C. 20037, phone 202-254- need to restore and preserve natural 6352. and beneficial floodplain values. The UnUted National Program for Flood. SUPPLEMENTARY INFORMA- plain Management (1976) of the TION: These guidelines provide: (1) Water Resources Council is cited by explanation of key terms and flood- the Order to provide direction. FYd-plain management concepts; (2) sec- eral agencies are directed to lead the tion-by.section analyses of the Nation by exemplary demonstration Order; and (3) procedures in the of a comprehensive approach to form of a decisionmaking process floodplain management and to pre-leading from the determination that pare procedures for achieving the a proposed action is or is not located goals of the Order. In the base floodplain, through the The objective of these guidelines is implementation of agency actions. to provide broad guidance in the in-Dated- FYbruary 3.1978. terpretation of the Order to assist each agency which will be develop-Imo M. Etsu, ing its own individual procedures for N' CIDE compliance with the Order. It is ree-ognised that agency procedures will PREFACE necessarily vary to meet legislatively l These guidelines result from recos- prescribed missions as well as the re-nition in two Executive Orders that quirements of the Order. This guld-the Nation's floodplains are the ance should prove useful to State l scene of: (1) unacceptable and in- and local governments and interest-creasing flood losses and (2) degrada- ed members of the public. tion of natural and beneficial values. The guidelines have been devel-The 1966 Executive Order 11296- oped over a 12-month period by the - 1 i ,sessa ases,an, voi. es, no. w_sesaav, seenvaa, se. two 1
e I NOTICES NOTICES efforts of an interagency task force restore and preserve the natural form of a decision-making process DuranTurwr or Cowwrner of floodplain specialists. Comments and beneficial floodplain values. leading from the determination Allan Flanders (NOAA) - and suggastions for improvement are The framework for meeting these that a proposed action is or is not Herbert Thompson (NOAA) welcomed. requirements is the Water Re- located in the base floodplain Otry R. MARTIN, sources Council's Unified National through the implementation of ENvinowwmaL PnortcTrow Acrwcv Alternate to the Chairman. m for Flood Plain Afanage- agency action. . Dale Manty (OWPS) e TO ASSIST AGENCIES: by pro.
- Peter Smith (OFA)
EXECUTIVE
SUMMARY
e EVALUATE, DESION, AND IM- viding broad guidance in the im- Duanum w Eww TIIE OIUECTIVE OF EXECUTIVE PLEMENT ALL AGENCY AC- plementation of the Order for use ORDER 11988 IS: TIONS: to meet the policies of the in the preparation of Individual Richard Faubel(FERC) rder- agency procedures. It is recognized DuranTurwr or HoUstwo awn UnsAN O "* *
- to avoid to the extent possi- that agency procedures will neces-ble the long- and short-term ad. e NOTIFY THE PUBLIC- if the sarily vary to meet legislatively DrvrLorwrwr
. verse impacts associated with the head of an agency finds there is no practicable alternative. This will prescribed missions as well as the occupancy and modification of requirements of the Order.
floodplains and to avoid direct and usually occur after there has been early notice to the public on plans Drranum w mr twmton Indirect support of floodplain de. ACKNOWLEDGEMENT Harry Barnes (USGS) velopment wherever there is a and proposals and alternative courses of action. parat o th e ulde n# Robert Schmidt (BLM) practicable alternative * * *" r
* "P t F1 p i ( S TIIE ORDER APPLIES TO: TI N AND P URF tT al t thE O ALL AGENCIES that:(1) acquire, to avoid the base floodplain if at Water Resources Council, in antici- ' Charles Towle (FWS) r manage, or dispose of Federal all practicable: (2) to provide for pation of an Executive Order. In Oc-j lands and facilities; (2) undertake actions to ADJUST TO THE tober 1977 when the Water Re. DuranTurwT or TnAN8ronTaftoN l finance, or assist construction and BASE FLOODPLAIN, if it cannot sources Council's technical commit-
- Philip Thompson (FHWA) improvements; and (3) conduct ac- be avolded; and (3) to keep the tees were abolished as part of a re-tivities and programs affecting public informed of proposed ac- structuring of the Council, a first Orrict or Mannorurwr awn BUport land use, including planning, regu- tions in the base floodplain and en- draft of the Guldelines had been Bruce Long liting, and licensing. courage participation in flocJplain completed. In November 1977, a 60-decisionmaking. Each agency shall day task force of essentially the COUnen. on ENvinowwrNTaL QUALITT O ALL FEDERAL ACTIONS: de- Issue or amend existing regulations same membership as the work group Robert Smythe scribed in the preceding sentence. within one year to comply with was appointed to complete the Zell Steever O ALL FLOODPLAIN LOCATIONS: this Order. Agencies shall prepare Guidelines. Trnarsser Vatuv AvTnontTY whether they are along or near to their procedures in consultatfort The members of these two groups rivers, streams, oceans, ponds, or with the Water Resources Council, and colleagues who provided special- *Glenn Wall related water bodies-as a mint- the Federal Insurance Administra. tzed assistance are listed below. We DrLawans Ram Bastw Cowwtssion mum, areas subject to inundation are indebted to all of these persons tion and the Council on Environ. for their professional dedication and Robert Goodell by a flood with a one percent mental Quality, and shall update chance of occurring in any year such procedures as necessary. especially to the members of the drafting team whose overtime ef. OntaT Iants Rim Basin Cowwtssion (i.e.,"100-year or base flood"). forts secured completion of the Leonard Crook TIIESE GUIDELINES ARE INTENDED:
Guidelines. TilF ORDER REQUIRES TIIAT AGEN- e TO BE USED BY AGENCIES: in preparing their procedures in con- t Director- Al Mathews o AVOID THE BASE FLOOD- sultation with the WRC, CEQ, and I Wam RESoUnces CoUwCIL PLAIN: unless it is the only practi- FIA. New ENGLAND Rim Bastus Cownission cable alternative. e TO FURNISH: (1) explanations of {
- Frank Thomas (Task Force and Techni- Thomas Klock key terms and floodplain manage. [ cal Committee Chairman)
O ADJUST TO THE BASE FLOOD-PLAIN: If the base floodplain ment concepts; (2) analyses of the DrranTurwr or AcanCULTUna cannot be avolded, adjust to it in Order, section by section, for Edward Ifood agency use in developing their reg.
- Richard Leisher (SCS) order to: (1) reduce the hazard and the risk of flood loss; (2) minimize ulations and procedures for com- DrranTurnT or Tur Anut the impact of floods on human plying with the intent of each sec-
- g Ph ppen ( E)
Paul Ebright safety, health, and welfare; and (3) tion; and (3) procedures in the p 2 FEDERAL RfGMTER. Vot. 43, MO. 29-FttDAY. FfetUARY 10.1979
.. _..__.m_. _ _ - _ _ _.__ ___. .
' NOTICES NOTICES Marshall Goulding Step 3-Identify and Evaluate Practica- e Action---any P4deral activity in- tory floodway (often referred to as -
Rose Metaod ble Alternatives to Imesting in the Base cluding: "* * * (1) acquiring, man- " floodway fringe"). Urrum Massassiers Rivsa Basin 3.A. ative Bites 28 ging, nd disposng of Federal e Moodplain-the lowland and rela-lands and facilm (2) pmWng tively flat areas adjoining inland Commission 3.B.-Alternative Actions 28 federally undertaken, financed, or 3.C.-No Action 28 and coastal waters including flood- -i Roy Peterson Step 4-Identify Impacts of the Proposed .! assisted construction and improve- prone areas of offshore Islands, in-Action 2a ments; and (3) conducting Pederal cluding at a minimum, that area i AnzaNsas-Wu!Ts-Ran Bassus Iwrum- activities and programs affecting Aosucv Consm Tras 4.A.-General Concepts 39 subject to a one percent or greater 4.B.-Lives and Property 31 land use, including but not limited chance of flooding in any given Barry Raught 4.C.-Natural and Beneficial Floodplain to water and related land resources year. The base floodplain shall be Sournaast Bastwo INTan-AasNCY planning, regulating, and licensing used to designate the 100-year 8 5 Minhalse. Restore, Preserve - activities- floodplain (one percent chance ComurTras 5.A.-Minimise 35 Gary Mathews 5.B.-Restore and Preserve 35 e Agency-an executive department, floodplaint The critical action 5.C.-Methods to Minhnise, Restore and - a government corporation, or an floodplain is defined as the 500-Steve Butterfleid . Preserve M independent establishment and in. year floodplain (0.2 percent chance ! Stars Rarasseurattvss Step S-Reevaluate Alternatives 37 cludes the military departments. floodplaint 6A.-Imcating in the Base Floodplain 38 Jack Pardee (Californial e Base Mood-la that flood which e Moodproofing-the modification
- James Wright (Minnesota) 6.B.-IJmit Action 3e 8.C.-No Action 38 has a one percent chance of occur. of individual structures and facill-Step 7-Findings /Public Explanation 3a rence in any given year (also ties, their sites, and their contents Imram-Stars RarassanTartva to protect against structural fall-7A Intemsency Mouce 39 known as a 100-year flood). This Robert Reemelin (Miami Conservancy ure, to keep water out or to reduce
.- 5 ns SuWeet to NEPA 3e term is used in the National Flood District. Ohio) Actions Imcated in the Base effects of water entry.
TI y Insurance Program (NFIP) to indl-TABLE OF C0hTENTS Step S-Implement Action 39 cate the minimum level of flooding e Jfinimize-to reduce to the small-to be used by a community in its est poasible amount or degree. Pasracs 1 ArrsNo A-Ftmosen ass Insommarrow codplain management regula- e One Percent Chance Mood-the , Exaevrnvs Summaar 2 - flood having one chance in 100 of 3 Arranour B-Rasarea Pa=== Ana e Base Moodplain-the 100-year being exceeded in any one-year AcanowsmseusNT Raynasuces '43 floodplain (one percent chance period (a large flood). The likeli-Gamosamv 4 flood-plain). Also see definition of hood of exceeding this magnitude Arrawarx C-Execurrva Omosa 11908- floodplain. Increases in a time period longer g Famoort. ann Manaosummt 44 than one year. Pbr example, there Arremorx D-Execernvs Omosa 11MS-e Channel-a natural or artificial are two chances in three of a Pazr I-IwTsarmstarrow or ExoevTrva Protection of Wetlands 48 watercourse of perceptible extent, larger flood exceeding the one per-Omosa 119e8 g with a definite bed and banks to cent chance flood in a 100-year Introduction to the Order 8 Arraworr E-ExaevTrve Omssa 11514- confine and conduct continuously or periodically flowing water. period. Section 1 8 PoorscTrow aus ENWaNCausNT or Envi-Secuon 2 e amusavar. W an M e & aNe-capa e of being i e Critical Actioss-any activity for done within existing constraints. Secuen 3 13 Figure 1-Deelston. Making Process for which even a slight chance of Section 4 16 Executive Order 11988 le The test of what is practicable de-Secuon 5 16 flooding would be too great, Figure 2-Floodplain Pictorial Olossary30 pends upon the situation and in-Section 8 16 Figure 3-Flood insurance Rate May 21 cludes consideration of the perti-Sect I Figure 4-Flood Hasard Boundary Map 22 hg eplaced Facilify-any man-made item other or man-than a structure. nent factors, such as environment, g g e Mood or Mooding-a general and cost or technology. 8ection 9 17 Tams an temporary condition of partial or o Preserve-to prevent modification PamT II-Deension.Mazine Pmocess 17 Table 1-Sources of Floodplain Informa. complete inundation of normally to the natural floodplain environ-Step 1-Determine if a Proposed Action tion and Technical Assistance Services a dry land areas from the overflow ment or to maintain it as closely as for Determining Whether a Imcanon is l is Iscated in the Base Floodplain 19 in a Floodplain 25 of inland and/or tidal waters, and/ possible to its natural state. of FI dp mins
,g F od or the unusual and rapid accumu- e Regulatory Moodway-the area 26 lation or runoff of surface waters regulated by PYderal, State or 1.C.-Critical Acuens 6 from any source.
Step 2-Early Public Review 26 Throughout this document, the ' local requirements; the channel of following basic definitions shall e Mood Fringe-that portion of the a river or other watercourse and
' Members of the drafting team. apply: floodplain outside of the regula- the adjacent land areas that must ,
4 pesenat aseestem, vot es, eso. so-rosav. resevaev te. tore ! sessmat meessvaa, vot. as, seo. so-eassay, sessuaav te, twe 5
- - _ = . . - . - - . _ _ . _ _- - - . - - . _ _ . . - _--________.-_-._~ _-____.________-__ ______ __-______-_____._.____-_ _ ____ _ _____._____- _ ______ - _
_ _ _ - . . _ - . _ . ~ . .- l e .g -
- i e
NOTICES NOTICES , i be reserved in an open manner, i.e., opment whenever there is a practica- al Program for Flood Pfafa Manape- management in the immediate ; unconfined or unobstructed either ble alternative. The preferred ment (U.S. Water Resources Council, future. In preparing these gulde- ! horisontally or vertically, to pro- method for satisfying this require- 1976) which sets forth a conceptual lines, the Water Resources Council ' vide for the discharge of the base (ment is to avoid sites on the base framework and recommends Federal recognised- (1) the impossibility of , flood so the cumulative increase in fifl oodplain. If an action must be 10- I and State actions for a continuing anticipating the full range of indi- ' water surface elevation is no more cated on the base floodplain, the { unified program for planning and vidual program situations affected i than a designated amount (not to Order requires that agencies mini- action at all levels of government to by the Order, and (2) the responsi-exceed one foot as set by the mise potential harm to people and reduce the risk of flood losses bility for indivislual agencies to ! NFIP). property and to natural and beneft- through floodplain management. tailor their procedures to meet both ! O Restore-to re-establish a setting Cl*I Pl*I" "'8- The Unified National Program in-.. their legislatively prescribed mis-of he il # # ""
- again operate-of
- and adds the wise and nonhasardous use of Because these guidelines are advi-prominence to the environmental as- floodplains including recognition of sory and the agencies will draft their i G Structures-walled or roofed build- pects of floodplain management natural and beneficial floodplain own rules and regulations, there is j ings, including mobile homes and which were not present in the old . values. .
gas or liquid storage tanks that are Executive ortler. To achieve this, the To assure compliance with the tency some will concern exist that among reasonable consis I agencies. primarily above ground (as set by Order requires that decision-making Order, provision is made for both Therefore, by October 1,1978, the
- the NFIP). by Federal agencies clearly recognise public and Federal review of pro- WRC will: (1) review the rules and O Wetlands "those areas that are loan pub t posed actions. Early public notice, regulations promulgated by the var-inundated by surface or ground must be given, therefon, to natural Office of Management and Budget tous agencies with respect to consis- l water wita a frequency sufficient and beneficial floodplain values and (OMB) Circular A-95 Notice, an en- tency with the guidelines and res- l to support and under normal cir- to the public benefit to be derived vironmental impact statement or its sonable consistency among agencies, cumstances does or would support from their restoration or preserva- equivalent, and notice of findings and (2) unake recanmedations for j a prevalence of vegetative or tion. are 1pecified vehicles for providing suggested actions, i aquatic life that requires saturated Throughout these guidelines the information and opportunity for These guidelines are presented in or seas)nally saturated soil condi- concept of the floodplain is ex. public participation. Budgetary two parts. Part I provides a section- i tions for growth and wMion. pressed using varying terminology review of compliance with the Order by-section interpretation basic on an i Wetlands generally include depending on the context of the dis- and periodic review of agency proce- overall understanding of the Order. t swamps, marshes, boss, and similar cussion. When referring to the flood. dures by the Water Resources Coun- Part II discusses the decision-making ;
areas such as sloughs, potholes, plain in a descriptive sense, such as cil provide for further review. In pro- process required by Section 2 of the ; wet meadows, river overflows, mud 11 the discussion of natural values viding opportunity for these reviews, Order and is critical to the develop-flats, and natural ponds" (as de- (Part II--Step 4.C.), the term flood- the potential for withholding of ment of agency procedures. The ; fined in Executive Order 11990, plain refers to any land area suscep. budget approval should be mini- guidelines do not intend to prohibit ' Protection of Wetlands). tible to being inundated from any mised. floodplain development in all cases, ; source of flooding. When referring Agency procedures are required to but rather to create a consistent gov- i INTRODUCTION to the floodplain from the stand- be prepared in consultation with the ernment policy against such develop- ' point of the Order's mandatory pro- Council on Environmental Quality ment under most circumstances. i Executive Order 11988-Flood- visions, the terms used in these (CEQ), the Water Resources Council Appended to the guidelines are de-plain Management, signed May 24, guidelines are " base floodplain," in (WRC), and the Federal Insurance scriptions of agency programs pro- .I 1977, revokes and replaces Executive most cases, and "500 year flood- - Administration (FIA). These guide- viding floodplain information, relat-Order 11296, issued August 10,1986. plain" when referring to criticial ac- 1*nes provide a basis for this consul- ed programs and references, and the It establishes a new general policF tions (Part II-Step 1.C.). The base tation. President's Policy Statement and and cites specific requirements for floodplain is the area subject to in- These guidelines have been pre- copies of the complete Executive compliance by 1%deral executive undation from a flood having a one pared to provide broad guidance in orders, Floodplain Management, agencies (hereafter referred to as percent chance of occuring in any 4 the implementation of the Order Protection of Wetlands, and Protec-agencies). Executive Order 11968 given year (100-year flood). The f and to offer a common point of ref- tion and Enhancement of Eneiron-(hereafter referred to as the Order) critical action floodplain is the ares erence for each agency to prepare mental Qaality. requires agencies to svold, to the subject to inundation from a flood impleinenting procedures for compil- Executive Order 11990-Protection catent possible, the long- and short- having a 0.2 percent chance of occur- ance with the Order. The interpreta- of Wetlands has been included be-term adverse impacts associated with ing in any given year (500-year tions in the guidelines are built upon cause most of the Nation's wetlands the occupancy and modification of flood). a strong Execut.tve Order and direct- are located on floodplains. Also, floodplains and to avoid the direct or Execut.tve Order 11988 directs im- ed at development of demonstrable both the floodplain and wetland Indirect support of floodplain devel- plementation of the UntSed Nation- Federal leadership in floodplain orders were issued as part of the 6 sesess seentes, vot es, no. w-mear, pessuasy se, two resess seentes. vos. es, seo. w-sessay, essouaty to, vers 7 _ _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ _ . _ _ . _ _ _ _ . _ _ _ _ _ _____m___- ______.__m. . _ _ _ . _ _ _ _ - - .
e NOTICES NOTICES SECTION I I floodlatn; to ensure that its planning pro- information in determining whether President's Message on the Environ. ment, May 24, 1977. Thus the guld- Each agency shall provide leadership and ra uo fl haza and oodp in [] ance provided in this document and shall take action to reduce the risk of management; and to prescribe procedures aps are MaWsW as W minh the agency procedures for floodplain flood loss, to minimize the impact of flo ds on human safety, health and wel- to implement the policies and require- mum standards for making this de. ments of this Order, as follows. manasement will frequently apply fare, and to restore and preserve the nat- , termination. Even if no map data to wetlands. Agencies may wish to ural and benefletal values served by Three concepts are introduced in exists, the intent is that the rger ey develop a single set of procedures for floodplains in carrying out its responsibit. l this section: evaluation, construction proposing the action peric . )r i these orders. ittes for (1) acquiring, managing, and dis- ! vs. planning programs, and imple- have performed a determination of j Executive Order 11514-Protection posing of Federal lands and factittles; (2) mentation. Evaluation as discussed whether a proposed action is located ced Enhancement of Environmental providing fi- in these guidelines goes beyond iden- in a floodplain. Guidance for this de-nanced, orPederally undertaken, assisted construction and im- tifying the impacts of a specific pro- termination was published in the Qality has been included to clarify provements; and (3) conducting Federal posal and includes an ongoing analy- FEDERAL REGISTER, (Vol. 42 No.190 the public notice aspects of the activities and programs affecting land sis of the effects of agency policies Friday September 30,1977) entitled ame, including but not limited to water Order. i and programs and the development " Guidance for Floodplain Manage-0 D d ment."(See Part II--Step 1.) PART I-INTERPRETATION OF EXECUTIVE ORDER 11988 Sat . and I cens activtt es. The basic concepts expressed in [ y t analysis of the full range of their ef- SECTION 2(aH2) j fects is discussed in Part II--Step This part of the guidelines pro. Section 1 of the Order are: (1) all - 4.A.) By including planning pro. If an agency has determined to, or pro-ides detailed section-by-section dis- agencies are covered; (2) all actions nd su po low an cussion of the Order as interpreted are covered; (3) all agencies are to af- grams as a separate item. the Order Qesto n , firmatively carry out efforts to, and emphasizes that all actions, even agency shall consider alternatives to by CEQ, WRC, and HUD/FIA. Key provide a good example of, sound those which do not result in a phys- avoid adverse effects and incompatible concepta are discussed and reference floodplain management practices; leal change, must be evaluated for development in the floodplains. If the la made to the decision-making pro- and (4) all ageneles are required to their impacts to or within the flood- head of the agency finds that the only cess (Part II). act, not merely consider reducing plain. Implementation means that practicable alternative consistent with risk, minimizing adverse impacta, agencies must adopt and carry out the law and with the polley set forth in INTRODUCTION and restoring and preserving flood- evaluation procedures. The results this Order requires siting in a floodplain. of this evaluation should be included the agency shall prior to taking action, By virtue of the authority vested in me plain values. , in any environmental assessment (t) desten or modtry its action in order to by the Constitution and statutes of the The comprehensiveness of the j prepared under NEPA. (See Part minimize potential harm to or within the United States of A nerica, and as Prest- Order recognizes that each agency, I II.-Step 7.) flo dplain, e nsistent with regulations dent of the United States of America, in in carrying out the various types of issued in accord with Section 2(d) of this furtherance of the National Enytronmen- actions enumerated in this section, SECTION 2(aHI) Order, and (til prepare and ctreulate a tal Polley Act of 1969, as amended (42 can affect the floodplain through the National Flood 1 l notice containing an explanation of why U.S.C. 4321 Before taking an action, each agencF the action is proposed to be located in Actetofseq.)' I9 68, as amended (42 any of its actions. The mandate that Insurance shall determine whether the proposed the floodplain. U.S.C. 4001 et seq.). and the Flood Disas- the agencies take a leadership role occu ter Protection Act of 1973 (Pub. I. 93- places them in a unique position rel. I yjon actions at y The major issues here include: (1) 234. 87 Stat 975), in order to avoid to the alive to state, regional and local fecting the quality of the human environ- consideration of alternatives which cxtent possible the long and short term levels of government in carrying out ' ment, the evaluation required below will will avoid the floodplain, wherever adverse impacts associated with the occu- nctions which affect the floodplain. be included in any statement prepared practicable, and alternatives which pancy and modificati floodpta This role requires the agencies to under Section 102(2MC) of the National will avoid adverse effects and incom-lead other public and private entities } Environmental Policy Act. This determt- patible development (development I deve ment wherever t ere is in achieving the goals of the Order j n on shall made ng a De- which has adverse effects); (2) mini-a practicable alternative, it is hereby or. D " dered as follows- by setting a good example. (The con- men IUD) floodplain mr.p r a mo$ mization of harm to or within the cepts of reduc 6g h WmW detailed map of an area, tr available. If floodplain resulting from proposed Th* Introduction establishes the Impact, and restoring and preserving the agency actions; and (3) circulation of a broad scope of the Order derived floodplain values are discussed in such maps are not avallaVe'of the loca-shall make a determinatbn notice (" finding")-to the general from NEPA and the flood insurance Part II-Step 5.) tion of the floodplain be ied on the best public and affected agencies that legislation. (Part TI - Step 4. . dis" available information. "t he Water Re- s! ting in the floodplain is the only cusses impacts r.ssocia&d 'vith the SECTION 2 sources Council shall isst e guidance on practicable alternative. The notice occupancy and modificatien of flood. In carrying out the activities desertbed in this information not lates thm.n October requirement introduced in this sub-plains and support of flood @h de- Section 1 of this Order, each agency has I* I877- section is part of a larger concern for velopment. Part II-Step 3 di rnsses a responsibtitty to evaluate the potential The intent of this suhtection is public notice end review carrying the practicability of alternafbes., effects of any actions it may take in a that agencies use the best available through to Section 4. FeDenAt arosstra, voi es, NO. 29-FRt0AY, FettUARY 10,19rs FEDERAL REol$tER. VOL. 43, NO. 29-Fes0AV, FEsRUARY 10. ters 9 8
O ,4 s NOTICES NOTICES Items (1). (11), and (l!!) are the mini- plans and shall require land and water re- Agencies shall encourage and pro-This section does not provide a sources use appropriate to the degree of vide approportate guidance to appli-standard for minimizing harm be- mum to be included in the notice. hazard inv Ived. Agencies shall include cants to enable them to evaluate the ' cause of the great variety of actions (The notice requirements set out in ' effects of their proposals in flood-and environments subject to the re. this subsection are discussed in Part fn N iderati of od arEr n plains prior to submitting appIlca-quirement. Instead, the Order ex. II-Step 7.) regulations and operating procedures for the Ilcenses, permits, loan or grants-In. tions for Federal licenses, permits, pressly recognizes that it is more ap- SECTION 2(aM4) and programs that they administer. Agen. loans, or grants. It is important that propriate for agency procedures to cles shall also encourage and provide ap- applicants be made aware early in spell this out for specific prograrns Each agent y shall also provide opportu- pmpriate guidance to applicants to evalu- their planning process of the flood-and activities. nity for estly public review of any plans ate the effects of their proposals in flood- plain management parameters Two important points should be or proponts for actions in floodplains. In plains pri r to submitting applications which the agency must consider ted about the standards to be em. accodance with Section 2(b) of Execu- ederal !! censes. permits, loans or when reviewing the proposed action. led in agency procedures. First, tive Order No.11514. as amended, includ-Ing the development of procedures to me. In this way, applicants will not go to while minimize means reduce to the complish this objective for Federal ac. Each agency shall take floodplain the trouble of putting together com-smallest amount or degree, there is tions whose impact is not significant management, as provided for in Sec- pleted plans and submitting them an implicit acceptance of practical enough to require the preparation of an tion 2(d), into account when: (I) for- formally before being made aware of limitations. Agencies are required to environmental impact statement under mulating its own water and land use the standards to which the agency is use all practicable means and mea- Section 102(2MC) of the National Envi- plans, and (2) evaluating the water subject in reviewing such plans sures to minimize harm. The Order ronmental Polley Act of 1969, as amend- and land use plans of others. Agencies are encouraged to refer ap' does not expect agencies to employ ed- In the operation of a license, plicants to the agencies listed in Part unworkable means to meet this goal. This section requires public notice permit, loan, or grant-in-ald pro- II-Table I for guidance on flood-Second, agency procedures are in- much earlier than the finding re- grarn, each agency must make ade- plain management matters. tended to be consistent with the quirement, including notice for ac- quate provision for the evaluation standards in the Flood Insurance tions which do not require environ- and consideration of flood hazards. SECTION 2(d) Program of the Federal Insurance mental impact statements. (The These provisions shall be included in As allowed by law, each agency shall agency's regulations and procedures. Administration (FIA). For this notice requirements set out in this When the action involves more than I88 'r amend existing regula lons and reason, agencies are required to con- subsection are discussed in Part II- one Federal agency, the " lead u sult with FIA before issuing their Step 2.) ith this Order. Thes p ures h procedures, and agencies with con. agency will be responsible and will incorporate the Unified National Pro-trol over Federal property are re- SECTION 2(b) obtain input from all agencies. In all gram for lloodplain Management of the cases, as a minimum, the "practicab- Water Resources Council, and shall ex-quired to follow the standards in inim ion
- standards plain the means that and the agency w!Il FIA's regulations utdess they are de- hp# )"
ro alo s it O fice f n2a e rder apply. employ to pursue the nonharazardous monstrably inappropriate. of Management and Budget shall indi- Therefore, as a pre-condition for an use of rivertne. coastal and other flood-( Avoidance is discussed in Part II- cate if an action to be proposed will be agency's approval of an application plains in connection with the activities Steps 3 and 4. Minimization is dis- located in a floodplain, whether the pro- for a license, permit, loan, or grant- under its authority. To the extent possi-cussed in Part II-Step 5. Findings posed action la in accord with this Order. In-aid, the agency must assure that ble, existing processes, such as those of and public notice are discussed in This subsection complements the the requirements of Section 2(a) the Council on Environmental Quality Part II-Steps 2 and 7.) public review element in the Order have been met. To the extent that and the Water Resources Council, shall (Subsections 2(a) (2). (3), and (4)).11 an agency deems the requirements be utilized to fulfill the requirements of SECrl0N 2(aM3) pmvides for Federal review ant of Section 2(a) not to constitute ade. this Order. Agencies shall prepare their pr cedures in consultation with the 1%r programs subject to the Of flee of raises the possibility that agenc3 quate provision for evaluation and Water Resources Council, the Federal In-Management and Budget Circular A-95 funds may be withheld from pro consideration of the flood hazard. surance Administrati n. and the Council the agency shall impose additional the agency shall send the notice, not to posed actions which are not ir 4 exceed three pages in length including a accord with the Intent of the Order requirements. upda su h ures as n y* location map, to the state and areawide "In accord with" means in compli The flood hazard aspects and to the degree they are quantifiable, the Agency regulations and procedures A-95 clearinghouses for the geographic ance with the policy and mandator, areas affected. The notice shall include: provisions (the letter and spirit) o' ? floodplain value aspects should be will systematically address each sec-(1) the reasons why the action is proposed expressed in terms of: (1) potential tion of the Order, and their proce-the Ord (or residuals) for monetary loss; (2) dures will define the extent to which e tind i g whe er th I n con human safety, health, and welfare; responsibility for compliance is to be forms to applicable state or local flood- SECTION 2(c) (3) shifting of costs or damage to delegated by the agency head. plain protection standards and (111) a list others; and (4) potential for affect. Each agency is to reflect the con-of the alternatives considered. Agencies Each agency shall take floodplain mar Ing the natural and beneficial flood- ceptual framework of floodplain shall endeavor to allow a brief comment asement into account when formulatin or evaluating any water and land us plain values. management as set out in the Uni-period prior to taking any action. FEMRAt REGISTit. VOL 43. NO. 29-ftIDAY, FESEUARY 10.1970 11 10 redes At ESO15 Tit. VOL 43. NO. 29-fRfDAY. FfttUARY 10.1978
o ,s NOTICES NOTICES fled National Program for Mood consultation will. of course, include mation, such as apwndices identify- dermined be/ the actions of the Fed- I Plain Afanagement in its regulations any issue relevant to compliance ing the agency contacta in Washing- eral :q waes. Both the positioning and procedures developed in re- with the Order. WRC will be the ton and in the fleid who are prW- of the reference to the NFIP re-sponse to provisions of the Order, point of contact, and will arrange for pally a?sponsibt kr implemes. ting quirements following the avoidance Floods, lain management according consultation as needed with an inter- the Order, uuss-refec*nces to 9ther and minimisation responsibilities set to the Unified National Program has agency panel including members relevant agency pr3cedards and out in Section 2, as well as the em- , as its goals the " wise use, conserva- from the three agencies cited. Con- ' manuals, and other material that phasis on the NFIP as the mini- ! i Hon, development, and utilisation of tact WRC Policy Office. 202-254- will assist agencies and the public to mum, is most significant in that it interrelated land and water re- 6352, for arrangements. Each agen- understand just what the agency is recognises the precedence of the re-sources to serve objectives of eco- cy's procedures should idenufy those doing to comply with the Order, quirements of Section 2 and limited . nomic efficiency. environmental actions, if any, which: (1) typically scope of the NFIP requirements. Of quality, and social well-being as con- do not create adverse effects or in- the three areas of concern which the ! i SECTION 3 Order addresses (minimisation of sonant with responsibilities * * '" compatible development, or (2) nor- ' This concept requires that the flood- mally will not require specific In addition to the requirements of Sec. harm to lives, property and flood-plain be viewed as having a role to agency and public review under the tion 2. asencies with responsingittles for plain values), the NFIP require-play in the future of its surround- Order. Federal real property and facilities shall ments are primarily directed towards ings. Within it, further adjustments To ensure that the public will be take the following measures- the protection of property. Thus, an in the way floodplalu land is used or informed of agency procedures, the The requirements of this secMon agency's application of the NFIP re- i in the way floods behave must be proposed agency regulations and of the Order are supplemental to quirements to proposed actions does not comprise full compliance with l made in a manner that is supportive pmcedures should be published in those of Sections 1 and 2, and must the minimisation responsibilities of I 4 of this future. From the standpr4nt th* PsDumAL Ruotsvun within a mini- be met by agencies having responal. the Order. of this Order, the Federal postura in mum 30-day review period provided. belities for Federal real property
- l floodplain management would b However, each agency must consult structures and facilities. The standards and criteria of the ?
NFIP are directed towards the pro-one of overcoming the apparent in- with CEQ, WRC and FIA prior to , j ertia in environmental value recogni- making procedures available for SECFION 3(a) tection of structures and facGities - l from the flood hasard and the pro- i Mon when the appropriate flood- public review or prior to publishing The regulations and precedures estab- tection of existing development from I plain role is being determined, as shem in Ll'e PsammAL Restovsm. lished under Section *d) of this Order the effects of new development. well as one of avoiding hasardous Agency regulations or procedures and uneconomic uses as part of this should include relevant material in shall at a minimum, require the con- Under the NFIP, residential struc- ' met f ! future role. The term "uneconornic" the following areas: (1) mechanical ,'f rederal k tures (including basements) are re-cloo includes the concept of costa requirements that an agency will use quired to be elevated to or above the , a dards and ernest and to be consistent base flood level. Nonresidential ! shifted by floodplain users to others, to meet the procedural requirements with the intent of those promulssted l both directly and indirectly. of the Executive Order, such as under the National Flood Insurance Pro. structures may be elevated as de-In order to comply with the re- timing. routing of documents, prep- sram. 'they shall deviste only to the scribed above, or floodproofed water- ! quirement that the means to be em- aration and circulation of findings exteret that the standards of the Flood tight to or above the base flood ! ployed to pursue nonhasardous Ese and notices, and specific links be- Insurance Presrom are demonstrably in- level For the protection of existing be identifled, each agency will be re- tween the Order and other planning appropriate for a siven type of structure development, the NFIP standards or factitty. and criteria rely on a regulatory quired to assess the degree of hasard decision-making processes and re-associated with its program activit.les quirements (e.g, budget process. There are three key concepts ex- floodway (see GlossaryL Under the NFIP, actions involving under a possible range of flood con- NEPA. Pds8.A-95); (2) sabstantive pressed in this subsection- (1) the re-
- ditions. Then the agency must state regairements, such as the standards lationship of the NFIP requirements the placement of facilities are sub-the speelfic kinds of actions or ad- for determining which alternatives to the Order's minimisation require- ject to the requirements that the cu- !
Justments that would be employed are practicable, and the criteria and 4 ment; (2) the scope and nature of mulative effect of the proposed ! to comply with this section. methods for minimizing harm (using the NFIP requirements; and (3) situ- action, when combined with all ex- ; To the extent possible, agencies FIA regulations as a guide wherever ations where the NFIP requirementa lating and anticipated development, ! will utilise existing processes estab- applicable): (3) pch/ direction, such are not applicable to the agency ac- will not increase the water surface ( lished under the NEPA directives of as incorporation by reference of the
- tions. .
elevation of the base flood more CEQ and WRC's Principler. and Executive Order, Unified Program. The intent of this subsection is than one foot at any point within ! Standards in addition to these guide- . NEPA. and other relevant require- twofold; first, to assure that the Fed- the community wherein the action is i
- eral government will require itself proposed. It should be noted that i lines. ments; general policies on the agen-Each agency shall consult with cy's approach to implementing the no less than it requires of non-Peder- the NFIP's one foot stage rise stan- i WRC, CEQ. and FIA in the prepara- Order; program-soecific policies; and al entitles for the protection of prop- dard is a minimum standard, and I tien of their regulations and proce- commitments to research monitoring erty from flood hasards, and second, more restrictive stage rise standards !
dures in response to the Order. This and evaluation; and (4) other im/br- to assure that the NFIP is not un- that are in effect in States and local ! semenat meessen. vet es, seo. so-cassar. pensuasy a two passant amossen, vot. m no. mv. pensener a two 13 12 l s
. ,a s
#E NOTICES communities take precedence over major improvement. In most cases a SECTION 3(c) provide for the identification of those uses that are restricted, and the NFIP standard as set out in Sec- marktt value threshold has been f,,pQ t e p how they are restricted under state tion 1910.1(d) of the NFIP regula- relied on which varies from 50 per- ,
tions. cent to 80 percent of the pre-im* an identified flood hazard area the re. and local floodplain regulations. This subsection allows deviation provement value of the structure or sponsible agency shall provide on strue. Such restrictions are generally set from the NFIP requirements only to facility (see, for instance, the NFIP tures and other places where appropri- out in state shoreline or coastal the cxtent that its standards and crl- definition of substantial improve- , ate, conspicuous delineation of past and management plans or regulations, probable flood hetsht in order to en- local plans and building codes. teria are " demonstrably inappropri- ment (24 CFR 1909.1). In the case of hance pubtle awareness of and knowledge zoning and subdivision ordinances. If tie" for a given type of structure or major improvements, agencies are ab ut flood hazards. no such restrictions exist, the agency facility. Where this can be demon- offered an opportunity to compen- The conspicious delineation of past must note this when it implements strated, the proposed structure or fa- sate for previous siting and design and probable flood heights is re- the finding and public notice proce-cility must satisfy the requirements decisions which did not reflect the quired on property which has been dures (see Part II-Step 7). Then it ef Section 2. and must not endanger intent of the Order. In meeting the or could be subjected to flooding and still must satisfy either 3(dX2) or cxisting development, encourage de- responsIbillty to appIy the Ordera velopment which would result in requirement to existing structures. is used by the general public. This 3(dUnder X3). Section 3(dX2), the agencies delineation responsibility applies to harm to or within the floodplain. or the agencies shall consider whether all types of property (land, struc- are required to provide appropriate itself be vulnerable to flood damage. the proposed action would: (1) result tures and facilities). Agencies must restrictions to the uses of properties SECTION 3(b) in an increase in the useful life of identify in their regulations and pro- by the grantee or purchaser and any the structure or facility in question; cedures the areas where this require- successors, which would augment 1ter compilance with the require- ment will be most effective in mini. those restrictions referred to in If'en(ts m of this Order, new construction of and(2)the maintain the investment exposure of lives toat the risk mizing the adverse impacts of floods, (dX1), above, or if none, adequately structures or f act11ttes are to be located in flood hazard; or (3) eliminate an op- especially on human safety, The 100 stand on their own. For the purpose e floodplain, accepted floodproofing and year flood level and the flood of of this Order, the term "appropri-other flood protection measures shall be portunity to restore the natural and record should be shown where avall- ate" as it refers to restrictions, applied to new construction or rehabilita- beneficial floodplain values. able. The 500-year flood should also means restrictions equal in scope tion. To achieve flood protClon, seen- Accepted floodproofing measures be shown where appropriate. and strictness to those of this Order. cies shall, wherever practicable, elevate for structures are defined under the Since the property in question is 10-structures above the base flood level NFIP regulations and are set out in SECr10N 3(d) cated in the floodplain. then the rather than filling in land. the discussion under Subsection 3(a), aEW mW assure he mese The key concepts in this subsec- s,bove. The Order further limits When property in floodplains is proposed restrictions that harm to lives and tion are: (1) requirements for new what constitutes accepted flood- for lease, easement, right-of-way, or dis. property and to floodplain values is construction and existing structures; proofing for structures through ad. posal to non-Federal public or private identified, and such harm is mini-parties, the Federal agency shall (1) ref. (2) accepted floodproofing measures ditional language in this subsection erence in the conveyance those uses that mized and floodplain values are re-and other flood protection measures; which requires that wherever prac- am natricted unde Mentitled Rderal, sM and gesened. Seedon 3(dX2) and (3) the requirement to achieve ticable, all stmetures shall be elevat- State or local floodplain regulations; and recognizes that these additional re-flood protection for structures, ed usk open woh, e.g, columns, (2) attach other appropriate restrictions strictions need not be appIled to the wherever practicable, without the walls, piles, piers, etc., rather than to the uses of properties by the grantee conveyance where prohibited by law. f fill fill (see Appendix B). Accepted or purchaser and any successors, except Section 3(dK3) requires that where F r the' u of the Order, the floodproofing measures for facOttes where prohibited by law; or (3) withhold an agency cannot or does not ct?oose term "new ruction" includes Vary considerably, since the setwe of such properties from conveyance- to meet the requirements of either construction associated with: (1) new the term facility, as defined in the Three requirements are set out for 3(d) (1) or (2), or both, it is prohibit-structures and facilities; (2) the re. Olossary, is extremely broad. Flood- , agencies which dispose of Federal ed from making the conveyance. construction of existing structures proofing measures for certain types properties (land, structures or facili- Even where the option is open to and facilities following damage of facilities, e.g., sewer interceptor ties) in the base floodplain. Of these meet 3(d) (1) or (2), withholding the caused by fire, flood or other hazard; lines and other types of piping, and three, the agencies must meet both conveyance may be the most appro-and (3) the improvement of existing . requirements 3(dX1) and 3(dX2), or priate approach to meeting the structures and facilities by rehabill. bridges and roads have been devel- they must meet Section 3(d)(3). Order's intent. Where, for instance. tation, repair alteration or addition. oped, and are familiar to agencies That is, if both 3(d) (1) and (2) the existing use is not compatible The application of the Order's re- having responsibilities in those cannot be satisfied, or if the agency with the intent of the Order, or the quirements to existing structures is areas. Other flood protection mes- does not choose to implement both, area in question is not subject to sures including warning and evacua- then the property must be withheld meaningful floodplain management emphasized Floodplain in this section'ent managem ap- tion plans, etc. are discussed in the " proaches have in the past set vary- Unified Naffonal Program for flood dr o 3(dX1), the agen- o f I fom* n ce ma t ing thresholds for what constitutes a Plain Afanagement cies' regulations or procedures must required-recenat esoisrea vot. es, no. M-remar. Feesumer to vers receaAt asetsrea. vot. 43. No n--remav, resevaar so, ters 15 14
e -L NOTIGS NOTIGS This section makes it clear that stitutions conducting such transac- (b) The term " base nood" shall mean of situations as those ' sections spe-cach agency now has a mandate to tions, then it is the agency's respon- that flood which has a one percent or cifically cited in the Order, are clear-condition or withhold the convey- sibility to require that the institu- , greater chance of (Ace.uce in any given ly within the meaning and intent of ance of Pederal property, unless a tion provide the requisite notice. year. Section 8. and therefore are subject specific law expressly prohibits such The private parties must be in. (c) The tenn "noodplain" shall mean to the same interpretation. the lowland and relatively flat areas ad-activity
- formed of the hasards of locating in the base floodplain. Such notice Wng inland and coastal waters includ- SECTION w ing n,--,-me areas of offshore islands, SECTION 4 - should be given in a way which: (1) including at a minimum, that area sub- To the extent the provisions of Section
'ID M C N NN ject to a one percent or greater chance of 2(a) of this Order are applicable to pro-In addition to any responsibuttles under flooded in language readily under- flooding in any given yeae. jects covered by Section 104(h) of the this Order and Sections 302 and 205 of the Plood Disaster Protection Act of standable to the private party;(2)in- ,I e terms ** agency ** " base floody Housing and Community Development '
1973, as amended (42 UAC. 4108 and dicates if the property is in a flood- and ** floodplain ** are' defined in the Act U.S.C. of 1974. as amended 5304(hn tes Stat. 640. the responsibilities under42 4138), agencies which guarantee, ap- way or coastal high hasard area; (3) Glossary. The 100-year floodplain is prove, regulate. or insure any finenetal indicates if there is a flood insurance used as the base or minimum flood- those pr,ovisions may be assumed by the
- transaction which is related to an area 10- purchase requirement; and (4) indl- plain for these guidelines.
,,,,,,, ate appiscant, if the applicant has also assumed, with respect to such cated in a fWIhh shall, prior to com- cates if the transaction involves the pieting action on such transaction- sale of unimproved real estate, that projects. all of the responsibilities for en-inform any petuate parties parM I=Hng the property may be subject to ^'"""'""*' '" "** d SECTION 7 d'***""*"'"*"r*o"n-action pursuant to the National Envi in the transaction of the hamards of locat- floodplain management regulations mental Policy Act of 1989, as amended.
Ing structures in the Wh which dictate the manner, and in Executive Order No.11296 of August 10, This section applies to the Federal some c==== the location of new con. 1988. Is hereby revoked. All actions. pro- This section allows units of general Housing Administration, the Veter- struction. cedures, and issuances taken under that purpose, local government which ans Administration, and the six order and still in effect shall remain in may assume the status of Pederal agencies enumerated in the Flood y tem s ol ." agencies for purposes of NEPA com-Disaster Protection Act of IM3: the SECMN 5 pliance under the HUD Community , Board of Governors of the Federal The previous Exectttive Order Development Block Orant (CDBG) Reserve System, the Federal Deposit h head of each agency shan submit a 11296 la revoked, but agencies are al- Program to assume the responsibil-report to he on virommental lowed to operate under existing pro- Ity for carrying out the provisions of Insurance Corporation the Cornp-troller of the Currency, the Federal on June se,197s. resarding the cedures until they can be revised to Section 2(a) of this Order for specif-Home Iman Bank Board, the Federal status of their procedures and the impact reflect this Order. At the latest, this le projects under CDBO as part of Savings and Iman Insurance Corpo' of this Order on the agency's operations. revision must be accomplished by their overall NEPA responsibilities. ration, and the National Credit Thereafter, the Water Resources Council May 24, IMS. Thus, the provisions of Section 2(a) Union Administration (to the extent shall periodically evaluate agency proce- of this Order will be carried out in that an Executive Order may be dures and their effectiveness. SECTION 8 conjunction with NEPA compliance, binding on them). Other agencies Agencies may be called on to fur- Nothing in this Order shall apply to as- and one responsibility may not be as-that have responsibilities similar to nish documentation covering revi- sistance provided for emergency work es- sumed without the other also being those described in this section are alons or special applications of proce- sential to save lives and protect property assumed by a grantee. Compliance i also subject to its requirements. The dures in years subsequent to 1MS. and pubtle health and safety, performed with Section 2(a) of the Order will notice requirements of this section WRC will involve interested and af- pursuant to sections aos and 30s of the be completed prior to the grantee's are in addition to the other responst- fected agencies in the review. Oleaster Relief Act f 1914 (as stat.14a. certification of compliance with bilities of these agencies under the 42 U.S.C. 5145 and 5146). NEPA. Order and under Sections 202 and Although Section 8 exempts flood-206 of the Mood Disaster Protection SECTION 6 - related and other emergency activi- PART II-DECISION-MAKING Act of 1M3, as amended (42 U.S.C. ties " essential to save lives and pro- PROCESS 4106 and 4128). As used in this Order" tect property and public health and This part of the guidelines is struc-This section covers any financial (a) h term " agency" chall have the
- safety ** from the provisions of the tured in eight steps to reflect the de-transaction guaranteed, approved, same meaning as the term heuuw Order, (e.g., the requirement to pre-regulated or insured by a Federal 7[ pare and circulate notice of proposed tred in t )o h O -
activity), it doesn't exempt them ' agency which is and which pertains muttery departments: the directives con, The eight steps are summarised to an area located in a floodplain. If tained in this Order, however, are meant from the spirit of the Order ex-pressed in Section 1. Activities under bel *** an agency does not operate on an in- to apply only to those agencies which dividual transaction basis with pri- perform the activities described in Sec . portions of . legislatively directed 1. The first step of the decision pro-v te parties, but rather guarantees, tion 1 wideh are located in or affecting emergency pansrams. (e.g., under cess is to determine if a proposed approves, regulates or insures the in- floodplains. P.L. 84-99), covering the same kinds agency action is located its the base
- i 16 pasemat meess,am, vot. es. seo. so-eassar, sessoasy te. tore pasmat asees,em, vot. es, eso. 3,_,menar, ressoasy te. me 17
. _ _ - _ -- _ . _ _ _ - - .____ - - -____- --_ _._._ ~..._.--._____.______-.__._-___ _ _ _ _ _ _ _ _ _ - _ - _ . _ . - _ - - -
- . - . - . - . . ~
'6 NOTICES NOTICES .
I floodplain. (As reflected in Figure 2 support. the action can be imple- DEC1510N-MAKING PROCESS FOR E.O. 11988 l the base
- floodplain is the 100. year mented. Step 8. '
floodplain. Also, the term 500-year 5. If the proposed action has identi- . l noodplain should bc substituted for fiable impacts or support, these ef-base
- floodplain for eltical actions- fects must be minimized. Further. nitsuitNE IF PROP 05ED ACTION
' natural and benencial Hoodplain STEPS
- 1. E4 IS In DE SASE* RNIN >@ ;
[es arlo types o f oo a I 's .cl val mm nsW and pre- . j their boundaries. If the proposed action is not in the base
- floodplain. " '
Z. I UFLY PUBLIC REVIEWi ! proceed to Step 4. 6. The proposed alternative can now be reevaluated taking into account 3p
- 2. The agency must make public its the identified impacts, the steps nec- Intui.n a EV E unTE E sta n nvEs intent to locate a proposed action in essary to minimise these impacts 3. TO LOCATING IN THE BASE
- R000Pt.AIN :MD ACTION l the base
- floodplain. This notice and ooportunities to restore and pre- g NDT IR BASE" =U
[ l must provide a description of the serve floodplain values. IN THE BASE
- R000Pl.AIN i
proposed action with ample lead In the base
- floodplain-If this reeva. R000Pt.AIN m
time for meaningful input from the lustion shows that the proposed public. - action la no longer feasible, consider r Q7 .[T R000 PLAIN ggSE l limiting the action to make a non-4.Itutmi H mMCT5 0F mmtu ACum ,
- 3. If the action is in the base
- flood- floodplain site practicable or taking DDE5 THE ACTI
- plain, the third step is to identify no action. Im IRECTLY SUPPORT and valuate the practicable alternr.- Omidde the h* floodplaim* If the R000 PLAIN DEVEL08 PENT tives to locating in the base
- flood-. action has impacts or support, con- 1 r i
plain. This determination resautres sider modifying or relocating the 5,1 FIIWm lE. REMuut AND PRE 5ERVE I the agency to consider whcther the action to eliminate or reduce these base
- floodplain can be avoidM effects or taking no action. U i i
- 5. Iuntin.uATE EsaniiA uvt5-
- No ACu0m I cither through alternative siting;
- 7. If the agency head finds that the , ," ;
through alternate actions which' only practicable alternative is locat- ILIMIT ACTION - RETURf1 TO STEP 31
i trould perform the intended fune- IN THE BASE *
[ ' tion but would minimise harm to or . notice Ing in the base
- floodplain, public M the tem must be given FL000 PLAIN r
within the floodplain; or by taking f 4r this finding (including the alter- 3r
,, ,cgg,,,
natives considered). 7. IFINIIES AIID PUBLIC EXPUUtAu0f4 .[
~
- 4. For the proposed alternative, the 8. After a renconable period to allow agency must identify if the action for action public canresponse, the proposed be implemented. 8. p wmMT ACum M has impacts in the base
- floodplain )
or directly or indirectly supports Note that depending on the situs- > floodplain development that has ad- tion, this process may be carried out
- FOR CRITICAL ACTIONS SuSSTITUTE "500 TEAR
- FOR "8ASE*. i ditional impacts. If the proposed with fewer steps if all of the objec- (
action is outalde the base
- floodplain Lives of the decision-making process and has no identifiable impacts or can be achieved. STEP l-DETERMINE IF A PRO. l.A. Types of Floodylein f
. POSED ACTION IS IN THE BASE t i
FIDOD- PLAIN The general types of land ares ! f The first step in complying with where flood hazards are encountered i the Order is to determine whether are riverine floodplains and coastal , I or not a proposed action is located in floodplains. The term floodplain is [ the base floodplain. This procedure not limited only to areas surround- ; was published in the FspraAL Rects- ing large bodies of water such as i vsa (Vol. 42. No.190. Friday. Sep- coastal areas and the shores of large tember 30, 1977). The following dis- rivers. In this document. the term l- cussion includes types of floodplains floodplain refers to any land area , l ' (1.A.), limits of flooding (1.B.) and susceptible to being inundated from i critical action (1.C.). any source of flooding including ; t e 1 i ressmat meesstem. vot. ca. eso. w--posear, psomuaar ie, tore pesenat meessvaa, vot. 43, eso. se_passay, vaanvaay so ivre 19 ! 18 i I
NOftCES NOTICES a y i e g rr egg those which can be flooded from tions where high velocity flow causes e
'! . . . . I je small and often dry watercourses. flood-related erosion. In other areas S m all watercourses can become where sheet flow has high velocity. , =
iij 8 i E, ,! - lIl I
!! l.l-gll 3
It(! Il[r I: *I lii ill = sources of major flood damage when sheet flow erosion may occur. Un-their watersheds e.vperience rapid usually high waves and tides are the i g ":!g [* ;!j I ,
- I I i !}' g (; ( . l'a l*l
- j :
8:2 !rE:gh fl=*l*I l. [ g I L runoff from intense rain or melting most frequent agents of coastal ero- uj l' Iyg ljil ( f 'll fj'*Ij! g snow. At some locations the flood sion. hazard results from several sources. Ice also contributes al damages. Land subsidence to structur-may l3% c il l j a
* ,8-e t l lll l j[ g
[ :: ; a j, ~. a . Aggravating factors contribute to occur with extensive withdrawals of j g l .I - r -W Ns
! g i the flood hazard in many riverine. ground water or other substances ,g
' i ltl lh l coastal. and sheet flow areas. This is producing a relative increase in flood l g 'l s particularly true in riverine situs- levels.
.t _ . ~,... . ..
...e._ _ ..m .
, s.
- u. q w) .- .
s,i f., y l' ;~ G I \ l . ci f/ cf i
//g /# - .-
f .!j l-
=> /-_! n -
/ e,, e
~~
12 =;
~ iv ~- ~
r' pr 9
:7 / ,! ll;: y :;,; 1/ ,/ ,/ / L, ,L~ ia i..'A... . . . .
i
~
l ,
.- _1 r' li :
p' f- N
! .i ,
- i /..
e - - ii
!2 '
_ f: i ' ll;'//,,4' '/r ' g-
.,-', ,' s: .<,-
/ iji. ,"" ,
Jr s ... g . I i,' ll ' l ~~'Y l/ *1 ;E . ,f - 1: .
/r i:II ).fffh~~r *I Y: \ j
,//. fn i
.- l .
c"*""c";; ?;.**".' a."" r1 f IN
. ~,
.!.'i=".qi",*.' .:?'"::
- i a
- : . :: /
j j : : : :* g l . l -*N ' j'j-
- i ! ij is i :: i: : : : ! !
ii; f '
-l i-f =$--y~L i-h==;~.J.%; ,
-.=o-===
= 7=dd': 4 ,, i v , .
; : : ocia
- : .A : a :
3d #' ;
; vuoi :
i n
- , E q ' [f i.' D i.
- i. !. !. !.!!.
e e s
'(,/
. .' e. m - . :
3, m aa
)
!["""** ' "'" " .* "N' " .
*l l
- I:
a s ----S =-s--
- u. ,,,, ,, ,
. n.u 5 ! n.u . m.... f = - .
***~
i i l~-
.'"..m" ****"..
5 NAME OF COMMUNITY neio anie nuesu .. . . m nei,e issuuci urs ... . . m l' - - I' "" *.:*too.m.. i less?ttat atYtem sgesptalgt
* (CetfiCat SC?tte t999.t.Is) .
ressant asoisten, vot es, seo. se -reioav. reenvaar is. sore 21 20 reossat assesten, vot es. eso. 29-reioav, reenvaar is. sere
I- : l h NOTICES [ NOTICES 1.A.1. RIVsRINs Ft.oODFLAINs I.B. I.iegnits of % , Riverine floodplains are valley For purposes of the Order, all v g . g areas adjacent to any size stream or agency heads will be concerned at a y .( g . river which can be covered by flood- minimum with the floodplain area
, N waters (Figure 2). Flooding in these which would be inundated by a flood .
areas results from excessive rainfall, having a 'one percent chance of oc- I e-
'1T 2- ,, g\q s
- anowmelt, or a combination thereof. curring in any year-the so-called If runoff is increased to the point 100-year or base flood"-because i
/r, f- p 2O L T .[ QA p
t N' q that the carrying capacity of the they must support any decision to i g{ channel is exceeded, flooding occurs. conduct, support, or allow an action
- < i
;g , Flooding also occurs when the capac- (i.e " structure" " facility" or "activ- I
{'* , 8, Ity of the stream channel is reduced ity") to be located within this area, i by natural obstructions (ice or debris ; i dams, sediment, and vegetation) and picts . Theand pictorial glossary defines the 100. (Figure year2) or# av k,". !:' l
/"d
- man-placed obstruction (structures base floodplain and other portions ;
f)e,, 8 and facilities). Some areas flood of floodplains. The base floodplain is L* c, *}f.N.d~- 8 l' , p' . y either from tributary stream over- delineated by Zone A on the exam- , 2* flow, backwater from a major
\
stream, or from both simultaneous, pies of flood insurance maps shown in Figures 3 and 4. 8 Iy. Within the base floodplain, ex-1 lF 1.A.s. coAsTAI. Ft.ooDPt.AINs treme hazard is associated with P l those portions of riverine and coast- ! > lfg i
- =g)'*b
~
f 8 Coastal floodplains border lakes, es*uaries, oceans. or similar bodies of sources, where depths and velocities al floodplains nearest to flood j
?
.M
e ;~ 5/ [ standing water (Pisure 2). Flooding of flood waters are greatest. These in these areas is due to landward areas are usually referred to as s [* I' .
# flows caused by unusually high tides, waves from high winds, storm " floodway" and " coastal high hasard .
h -
/
,f surges. tsunamis (large waves in the area". and with few exceptions are sea associated with very strong locations to be svolded. These are
[ earthquakes or other impulsive dis- the floodplain areas where flooding )
,' N ,
/ turbances), or by a combinatten of is not only most frequent and dam- 7 these causes, aging, but where natural and beneft- *
%%,N- **s ,
cial values of the land and water in-terface are at their maximum. 1.A.s. sFoCIA1. FLooDPIAIN ARsAs
'N(,g Special floodplain areas encompass $1n addition, agency heads should j sheet flow or shallow flooding areas. consider the implications of the oc- :
t egg wetlands, and sinkholes. Sheet flow currence of a flood larger than the
- a occurs where a clearly defined chan. base flood on the economics and [
! .f i;I nel is absent and where the path of safety of a proposed floodplain I [ brgII l 2 m g [*
j , ;
.'! ey I flooding is unpredictable and inde- action. If a proposed action would be terminate. In some cases, high veloc. especially dangerous when exposed <
% g= ilHl
'is ki l l- l ,e 3 ity flow may occur with sheet flow. to larger floods, consideration must l s l as it does commonly on debris cone be given to the larger floodplain
' : E 3 '! II Ci$ yp 8 floodplains (alluvial fans). These area. (See Step 1.C. " Critical Ac- -! E E l I* g ,g,I* cones build up from eroded geologi- tions".) Herein, such larger flood- ! a= I E j d I ! i p gI ~lf cat debris that is carried by moun- plains are identified as those of a i 3m* g I i ed W tain streams and deposited when the flood with a 0.2 percent chance of f stream encounters an abrupt de- occurring in any year-the so-called ! crease in slope. Other flood prob. "500-year flood"--shown as Zone B - I j- -
- - - " lems are caused when development on the Flood Insurance Rate Maps !
g'*g h _* occurs in areas drained by sinkholes issued by the Federal Insurance Ad- L
" : - ~ ~ ministration. Larger floods are also I
itsee atrate sessoast uar I **'* which often become plugged. - sesenAa asessvea, vot es, seo. n-eassav. penevaav se, two 23 ; 22 esosaat seeestem, vot es seo. w_sessay. sceauaav se. two i I _ -e - , , __._._._.___.m__.___ .m _ _ _ _ _ ._____.____.________.____m_.__m _ _ _____.____ _.__ _ _ ___
- _- _ _ . . . - . - . . - =- ._ . - . - - . - .. .- NOTICES NOTICES used to delineate floodplains in flood showing the elevations and bound- own floodplain studies when slon involves an area or location hazard studies by other agencies. artes of the 100-year" (Zones A and needed.) within extensive Federal or State (Examples are the Standard Project V) and "500-year" (Zone B) flood- e If an approximate boundary map holdings, it is unlikely that FIS re-Flood (SPF) used in the U.S. Army plains are known as " Flood Insur- ' (FHBM) is not available or if the ports and FIRM or FHBM reaps Corps of Engineers' studies, and the ance Rate Maps" (FIRM). A sample map does not delineate the flood would be available. In this event, in-Maximum Probable Flood (MPF) is shown as Figure 3. Such maps hazard boundaries in the vicinity formation should be sought from used in Tennessee Valley Authority have been published by the FIA for , of the proposed site-seek detailed the land administering agency (TVA) studies which are computed over 1,300 communities and maps for information and assistance from before information and/or assistance is sought from the agencies listed in from basin runoff potentials rather more communities continue to be the agencies listed in Table 1. Table 1. If none of these agencies than through statistical analyses of published for FINS program to pro- e If the agencies listed do not have has information or can provide assis-flow frequencies.) In summary, the vide maps of all flood prone areas by or know of detailed information an e, esm an ex enced key question is- How does the agency 1983. Many of the communities and are unable to assist in deter- ns M e nee sM M decision-maker ascertain if his deci. which have a FIRM also have a mining whether thefibro- *
- is in or thenot sion involves a floodplain location. Flood Insurance Study Repcrt (FIS) posed site base -
particularly a site within the flood. containing detailed flood informa-tion. Some 13,000 less detailed maps plain-seek the services of a 11-1.B.s. FRoCEDURES IF SITE Is oUT OF plain of the one percent chance censed consulting engineer experi-w a x as enced in this type of work. The THE sAsE FLOODPLAIN flood? } p quality of information obtained available for most of the remaining from the consulting c"gineer must ons ocated out of the base 1.a.1. FRocEDUREs FOR DErElut1NING A communities. These are called FLooDFLAIN LoCAT!oN " Flood Hazard Boundary Maps" The Order states that "this deter. (FHBM). A sample is shown as co ara to th d
*C FI o b o d eet for the FIA. A list of experienced minimum requirements and no fur-mination shall be made according to Figure 4. Similar infonnation, some consulting engineers from which aance ther action is required for compil-n Department of Housing and Urban very detailed, is also available from with the Order, unless the se'ection can be made may be pro-Development (HUD) floodplain map the agencies described in Appendix vided by the agencies in Table 1* action impacts the base floodplain or a more detailed map of an area, if A. The search for flood hazard infor-mation should follow the sequence Areas of Predominantly Federal plain development (Step 4.A.), or is a (Step 4), indirectly supports flood-tvailable." Two cautions are suggest, ed in using flood insurance maps- (1) below. and State Land Holdings If a dect- critical action (Step 3.C.).
they generally do not delineate por- e The detailed map (FIRM) or the tions of the floodplain less than 200 Flood insurance Study (FIS) feet wide where headwater flooding report should be consulted first. may be a concern, and (2) possible Information on how to request rasu n.-somes offroarpreen wrorntation and recanicar asessrance services /br adverse consequences from future single maps. FIS reporta, and how deter'a89taa userAer e racerson as en a /roarpresa urbanization are difficult to infer to be placed on the FIA malling from the maps. Thus, technical as-sistance may be desirable for inter-list to receive new or revised rww.i m m.
=ad parm FIRM's, FHBM's, and FIS reporta preting flood insurance maps. In ad- is detailed in Appendix A.
aw.,,,, c.,,w d.Yn.nwe. dition, decision-makers seeking flood insurance maps may find them un. e If a detailed map (FIRM) is not available-obtain an approximate Deputawns e Asriewtw son cetwa ser. cvailable for areas of extensive boundary map (FHBM) from the ** . . . public land holdings' The following is a guide for obtain. same source a. in the preceding CA'd, _d".inttntbnC T ,' d hm *'"'"' ,;; ing the floodplain information step. If the proposed site is at or 3
. L. A& e e needed to make a determination. near the "100-year" boundary, if D% ,d H, r
_Dneksent: , Areas of Predominantly Private data on flood elevations are reanc in r.n,. A nin.imt n , , , Land Ownership- If a decision in- needed, or if the map does not de. Dep rtawnt of the lnkrbr-volves a publicly or privately owned lineate the flood hazard bound-artes in the vicinity of the pro-M.r non n"e'"ri ima .w%,,,,,,,n, l l
- site within an area of predominantly ,.
private ownership, a map showing posed site-seek detailed informa- LCgghwM
- g the flood hazard areas will usually tion and assistance from the agen- su h.nna an.c s in ~-.-- - . .
be available from the National Flood cies listed in Table 1. (There are v rw. tr = si.ie t. st.w. Insurance Program administered by additional agencies with profes-
**"***'"d*"*dd""*""~
the Federal Insurance Administra- sional competence not listed in , tion (FIA), HUD. Detailed maps Table 1 which can perform their 24 receeAt aseesten, vot. es. no. 2,-reioAY, F998UARY 19.1978 P90ftAt Rfoll?tt. Vol da. 900. 29-FesAY, PfstOARY 10. 1970 25 L
[ l NOTICES NOTICES be avolded, the next responsibility ence, including specific segments that a plan or proposed action or its 1.0.3. PROCEDURES Ir SITE is IN (Step 2) is to provide an opportunity to whom public notice information alternatives will impact a floodplain. THE BASE F1.ooDPLAIN for public review and comment on will be targeted (e.g., floodplain then it should be announced as early If the location is within Zones A or the proposed floodplain location. residents, elected officials, basin as that is known, and not delayed V as shown on a FIRM, or in Zone A g residents, interest groups, other until much more detailed informa-on n FilBM, as vertGd by other de- STEP 2-EARLY PUBLIC REVIE%. I g agencies, etc.). The responsibility tionItisisdeveloped. recognized that variations in tailed Information, alternative sites Early public review is one of sever. l 1s to reach as broad an audience as program types will determine the outside of these zones and slterna- possible. tive actions are to be identified and aledrequirements of the Orderinvolve-direct. ss wh th pubI evalu;ted (Step 3.) in an initial at- at the objective of public e A description of the vehicles or slo making p tempt to avoid the floodplain. men It sh uld o r in t public information mechanism can be notified. For example, in the e 9} which will be utilized to reach the case of a private developer applying target audience (e.g., public hear- for a permit to construct a housing 1.C. Critical Actions ment The process' objecti ve of public involve- Ings, newsletters, workshops, advi- complex with floodplain impact, the As Indicated previously, the mini- ment is to provide sufficient infor- sory groups, etc.). The responsibil- earliest public notice may not come mum floodplain of concern for cer- mation early enough in the process ity is to provide continuous inter- until a point very late in the deci-of making decisions affecting flood- action and involvement opportuni- ston-making process. At that point, tLin critical actions is the area sub- ties for the public during the the only options may be no project, ject to inundation from a flood plains so that the public can have fl dplain decision-making pro- or the project as designed and pro-hrving a 0.2 percent chance of occur- impact on the decision outcome. The ring in any given year (500-year order includes requirements that the ****' I y ,"uc ap po goa floodplain). This floodplain includes public be provided adequate infor- e A description of the purpose for wastewater treatment facility re-both Zones A and B as shown on mation, opportunity for review and which various public notice actions quires considerable expenditure for FIRM's. Critical actions are those comment, and an accounting for the will be undertaken and assurance site evaluation, engineering and for which even a slight change of rationale for proposed actions affect
- that public input will be integrated design. Public notice must precede flooding would be too great. Some ing floodplains. These requirement into the decisicn-making process major site identificattor. and analysis k:y questions in this regard are: are stated in Section 2 of the order, which: t e.g., specific efforts to provide so the public can have an input early O If flooded, would the proposed one-way information dissemina- in the decision-making process of action create an added dimension e requires agencies to provide op- tion, two-way public communica- preliminary site screenin g and selec-to the disaster as could be the case portunity for early public review tion or interaction, etc.). The re- tion. If not, public cheice options for llquefied natural gas terminals of any plans or proposals for ac- sponsibility is to provide informa- may be foreclosed, or dxSlons will and facilities producing and stor- tions in floodplains; tion which promotes the fullest not be based on similarly detailed in-ing highly volatile, toxic, or water- e requires agencies subject to the understanding of the proposed formation bases.
reactive materials? OMB A-95 Budget Circular to pro- plan or action. E ly publ n I t e first in vide notice explaining a proposed O Given the flood warning lead-time action; e A statement explaining the timing volvement activities. This would logi-grilable, would the occupants of of public notice actions to promote cally be followed by continuing buildings such as hospitals, e requires preparation and circula- public tmderstanding and provide public communication at Step 4, in schools, and nursing homes be in- tion of a notice of findings and ex- opportualties for the public to identifying impacts, Step 6. reeva sufficiently mobile to avoid loss of planation prior to taking an action, affect a pr p sed action or plan luating alternatives through the en-I "" " An overview of these sections sug- before alternative actions have vironmental review process, and at o Would essential and irreplaceable gests that agency procedures should been precluded. Step 7. In the issuance of findings records, utilities, and/or emergen- provMe an integrated procedure for It is recognized that the public in- posed plan or action must impact and explanation of why the pro-cy services be lost or become Inop- hvolve'nent of the public in the erttive if flooded? flovlWin management decision- 2 volvement process must be tailored the floodplain. 4 to specific program types (permits, If the answer to questions such as making process. Thus, to insure that direct and federally assisted pro-these is "yes", an alternative loca- adequate information and opportu- 5 jects, etc.) and will vary. Neverthe- STEP 3--IDENTIFY AND EVALUATE tion must be sought completely out- nities are provided for the public to less, agency procedures must be com- ALTERNATIVES effectively participate in floodplain PRACTICABLE side the larger floodplain. Agencies decisions, and to meet the require- patible with Section 2(b) of Execu- 'IV LOCATING IN Tile BASE listed in Table 1 may be in a position ments of the Order, the following tive Order 11514 (Appendix EL and FLOOD- PLAIN to provide information and assis- must also apply to actions which do tance in evaluation of proposed loca- elements should be incorporated in not require preparation of an EIS tions for critical actions. If neither agency pub!!c envolvement proce- under Section 102(2)(C) of NEPA. IIaving determined that a pro-th2 base floodplain nor larger flood- dures: If there is a reasonable likelihood posed action is located in the base plain for certain critical actions can e A description of the overall audi-FEDitAL ttG15ff t, VOL. 43. No. 29-FRioAY, FEDEUARY 10, 1973 27 FeoctAL REGt1 Tit. Vol. 43. No. 29-FRIDAY, FEBRUAtt 10,1978 26
NOTICES NOTICES floodplain, the agency is required by tion of a document storage facility 4.A. General Concepts Direct support results from actions the Order to identify and evaluate within the flood-plain to handle ex. located on the floodplain, while indi-practicable alternatives to locating panding record keeping needs, the In their ngulations and proce- rect support results from those out-in the base floodplain. Alternatives alternative of microfilming the docu- dures, the agencies est 1&nWy the side the floodplain. For example, the to be evaluated include: (1) carrying ments could allay the need for a new means by which they wHl addmss location of a major public service the following impact-related issues. structure or facility (a post office,11-out the proposed action at a location structure. Similarly, rather than outside the base floodplain (alterna- providing expanded waste treatment e All agency actions can have im- brary or office building), in the tive sitest (2) other means which ac- capacity for an area by constructing pacts associated with the modifica- floodplain, requires new or addition-complish the same purpose as the a new or larger facility in the flood. tion of floodplains. Although the al investment in or construction of proposed action (alternative ac- plain, the alternative of using sur- modification of floodplains and en- support facilities for food service, tions); and (3) no action. plus capacity in a neighboring locale suing impacts most clearly result parking, etc. Further, simply could serve the need for a new or ex. from actions located in the flood- through their location, such actions 3.A. Alternative Sites panded facility. plain or at its periphery, it can also would foster additional develop-result from actions out of the ments in the floodplain. Floodplain 3.C No Action floodplain, development could be indirectly sup-Alternative sites must be identified d the racticability of s No action is also an alternative, o Certain types of agency actions Yfater ( d was ate and assessment of this course is re- may support subsequent actions systems, power supplies, highway entsts outside the base floodplain, which have additional impacts of and secondary road networks, mass quired. The alternative of no action the proposed action must not be 10- their own* etted in the base floodplain. When-probably can not be fully evaluated transit systems and airports) outside ever a floodplain site is the only until a determination has been made e The Order focuses on the adverse the floodplain. practicable alternative. the agency in Step 4 of the harm to or within impacts of proposed actions on Clearly, it la the intent of the rnalysis leading to this conclusion the floodplain resulting from the lives and property, and on natural Order that the impacts of Federal should be fully documented. In de- proposed action, and beneficial floodplain values. actions and the impacts of actions termining the practicability of a supported by Federal actions be non-floodplain site, the general con. STEP 4-IDENTIFY IMPACIS OF e The three basic types of impacts evaluated. However, the identifica-TIIE PROPOSED ACTION are: (a) positive and negative; (b) tion and evaluation of these positive cepts of site feasibility apply. At a concentrated and dispersed; and and negative changes to the systems minimum, site practicability shall be If the agency has determined that (c) short- and long-term. of flood losses, threats to life and addressed in the light of the follow-ing. the only practicable alternative is 10- health, and environmental values a n, - e.a.g. mm an smam swm or are den W MM and mn O natural (topography
- habitat, haz- pac e mp sed action nmst be FLOODPLAIN DEVELoFMENT speculative. Moreover, the process ards* etc.).* Identified. Similarily, where actions by which an agency tries to describe O social (aesthetics, historic and cul. proposed to be located out of the The Order requires the agencies to the actions supported by their ac-tural values, land use patterns, floodplain will affect the base flood- avoid the direct and indirect support tions is both complex and often not etc.); plain, impacts resulting from these of floodplain development. For the well addressed in accepted method-O economic (cost of space, construc- actions must be identified. Since the purposes of these guidelines, an ologies, without a clear conceptuali-tion, services, relocation); and Order is based primarily on NEPA. action supports floodplain develop- zation of the supported action, there O legal (deeds, leases, etc.). the agencies can draw upon the ment if it encourages, allows, serves is little chance that the imports can impact identification and assessment or otherwise facilities additional be identified. On the other hand, experience and guidance which they floodplain development. The agen- when the supported actions are de-3.B Alternative Actions have developed in their implementa- cles may also reflect in their regula- scribable in terms of growth experi-tion of NEPA. The concepts of tions and procedures, the manner in ence in the area or from experience Alternative actions must be consid- impact assessment applicable to which agency actions similarly ac- with similar actions elsewhere, the ered before a decision is made to both NEPA and the Order are iden- commodate the maintenance of ex- impacts of the supported actions can carry out an action in the base flood- tical, with the Order's focus being isting uses in the floodplain. That is, be identified as they are for the pro-plain. These are actions which sub- narrower. The following discussion - a proposed action can reinforce ex- posed Federal action.
ctitute for the proposed action in addresses general concepts of impact isting land use patterns which gener-that they comprise new solutions or identification and assessment (Step ally have developed without reflect-approaches which serve the same ing the concepts of hazard and risk 4.A.s. TYPts oF IMPACTS 4.A.), ed the two areas of concern function or purpose as that pro- which are impacted as a result of the minimization and restoration and The three basic types of impacts posed, but which have less potential occuparcy and modification of flood- preservation of natural floodplain for harm. For example, where an plains; lives and property (Step 4.B.), values which form the basis of the wh!ch must be addressed are: (a) agency has proposed the construc- and floodplain values (Step 4.C.). Order. positive add negative; (b) concentrat-repenat anoistan. vot. es, No. s,_entoav, resaUARY 19.1979 ffDfRAL Rfot$ftt. VOL. 43, No. s9-fttDAY. FibtUARY 10,1978 29 28
- . .__ -m. --____ ___ _ _ . - . _ - _ _ _ . _ _ - _ . . _ - _ . _ _ _ _ .m- _
e ~ .
. ?
NOTICES NOTICES ; ed and dispersed; and (c) short and 4.A.3. soUacss or IMPACTS outside the floodplain. The evalua- Probability Floodat These are sta-
"E '"- Regardless of the source of im- tion of alternatives to the proposed tistically derived floods. The one Positive and negative impacts. pacts, the agencies are required to action as discussed in Step 3. pro- percent chance (100-year or base) +
both must be identified, even though identify the types of impacts dis- vides a better opportunity to explore flood is the term which describes the th2 focus of impact identification cussed above which arise from their the range of possibilities for avoiding magnitude of flooding used by FIA and assessment la on negative or ad. actions when these impacts affect adverse impacts to or within the as the minimum acceptable level to virse impacts. This is necessary in the floodplain. Thus. this require- floodplain than the more narrowly which a community must regulate crder to identify the full range of ment applies to actions proposed focused concepts of minimization. the floodplain in order to qualify for impacts asalnst which to weigh the both in and out of the base flood- restoration and preservation dis- the National Flood Insurance Pro-practicability of a proposed action. plain (or the 500-year floodplain cussed in Step 5. For example, the gram. As stated previously, this mas-In addition, it must be recognised where a critical action is proposed). overall costs involved in locating a nitude flood has a one percent , that impacts which are beneficial to The location of the action causing highway interchange, sewer inter- chance of being exceeded in any one , some, may be harmful to others. For the inicact determines which of the ceptor line, airport facility. etc., at a - year period. The likelihood of ex- [ example, draining wetlands estab- requirennents of the Order must be - location less directly affecting the ceeding the one percent chance , fishes an environment which is suit. met by the agencies. For actions pro. floodplain could be less than the flood magnitude increases with time i Lble for certain uses, but at the ex. posed in the base floodplain (or the costs incurred in attempting to mini- periods longer than one year. Pbr ex-pense of tha benc'icial values of the 500-year flood-plain where a critical mise the impacts of the proposed ample, the probability is about one , action is proposed), all of the re, action and to restore and preserve in four that the one percent chance wetland. floodplain values. flood will be exceeded during the life quirements of the Order must be of a 30-year inwtage. Concentrated and @/ wed im- met as outlined (Figure 1). For ac-Large floods occur each year in poets- both may P_mul',1:cm any tions proposed out of the base flood- 4.B. Lives and Property many parts of the United States. No action. The impacr is concentrated if plain, however, the Order does not it occurs at or near the site of the require that the public notice and After determining that a proposed part of the country is immune from action and is dc wd if it occurs at findings discussed in Steps 2 and 'I action is in the base floodplain, the large floods. Consequently, it has a tite remote fror. the action. For be prepared. Similarly. since in these risk to lives and property involved in become standard practice for agen- ; cxample, a concentraded impact of cases the action causing the impacts using that site must be determined. cles dealing with flood problems to constructing a building on a wooded in the base floodplain is located out- This requires an understanding of calculate elevations of a greater ; area la the loss of vegetation at the side of it, the practicability test the magnitude and consequences of flood to indicate the range of flood- t site. A dispersed impact of the same (Step 31 is not required. As a mini- flooding that can be expected. Ing which can and will occur. j action could be sedimentation down- mum, however, the agencies must ! stream caused by erosion at the site. Identify these impacts and minimize 4.B.1. NATUms oF HAEAaB AND RISK 4.s.s. HIGH MAZAaD AasAs ; ensuing harm to or within the flood-h- and hierm impacis both plain which would result if the Two basic types of floods are used High hasard areas are those por-must be analyzed in order to evalu- action is taken as proposed. Because in determining flood hazards. ob- tions of riverine and coastal flood- . Ete the total impact of an action. there is no requirement for public served or historic floods and prob- plains nearest the source of flooding. I Short-term impacts are tempwary notice or the practicability test, the ability floods. These are the frequently flooded I changes occurring during or immedi- minimisation responsibility (Step 5) Historic Floods: Often these can areas that become arenas of major I Etely following an action and usually takes on added significance. This be the basis for deciding whether a flood dynamics during large floods. i persist for a short while. Iang-term should be reflected in agency proce. proposed site is in a hazardous area. Here, flood-waters exert their maxi-impacts occur during or after an dures. However. the fact that a certain mum pressures, erosion is greatly ac- ' action and may take the form of de- The agencies are strongly encour- level of nooding has been observed celerated and loss potential is in- ! Ir.yed changes or changes resulting aged to apply the pclic notice pro- indicates little about how fl ods are creased. Additionally, these are the from the cumulative effects of many cedures and alternate sik and action likely to occur in the future. Even areas of coastal and riverine flood- - a individual actions. Long-term im- evaluations to actions proposed out where records extend over a long plains within which many of the pacta may persist for a considerable of the floodplain which will result in period of time, the highest observed most critical floodplain values are time and may continue indefinitely. Impacts to the floodplain. It has flood must not be used as the only concentrated. In riverine situations. An example of a short-term impact been recognised that public input in guide for decision-making. With very the high hazard ares is that pottlon i could be sedimentation at or below a agency decision-making processes few exceptions. flooding at any site of the floodplain where impedance i construction site. A long-term through NEPA has improved the en- can be expected to reach higher to flood flow resulting from man's ; impact could be the loss of valley vironmental soundness of these dect- levels than those previously record- occupancy can increase flood heights i floodwater storage resulting from sions. It is even more reasonable to ed because larger storms. urbanism- and consequently the area subject to the cumulative effect of floodplain apply the alternate site and action tion flood plain encroachment, or flooding. In coastal floodplains, the development. evaluation to actions taking place other factors affect flooding, high hazard area is usually confined 30 reshaat meessven vot. es, no. ze_pensar, possumer se, ivre pessmat seeisten, vot. 43. no. so-sessar. possuany so. vers 31 i _m__. . . _ _ _ . _ _ . _ _ . _ _ _ _ _ _ . _ _ . _ _ . _ _ _ . _ _ . _ . _ _ _ _ _ _ . _ __ ___ _ ___ _ _ _ _ _ _ _ _ . . _._
F._ . NOTICES l NOTICES t In coastal floodplains natural bar- level of standing water bodies is res-to the beach area in front of high toward a new equilibrium. The envi. riers exist in il>e form of sand dunes ulated naturally by groundwater. ; bluffs or the crest of primary or for- ronmental effects of this readjust- and certain vegetation. e.g., man- During periods of excessive precipi. ; edunes, where wave impact is the ment may affect areas far from the grove stand:, which reduce the tation, runoff enters the ground- i most significant inducing factor. In original site of the disturbance and Impact of high tides and storm water system as well as stream chan-light of the high loss potential and can last for decades. Thus, flood. surges. Alteration or removal of the nels and standing water bodies, j the likelihood of significant adverse plain actions must be viewed with barriers themselves, or the vegeta- thereby reducing peak flows; during ; ' affects to floodplain values associat- cautlen and a careful - -t tive and drainage systems which sup- the dry season, water generally flows ! ed with the conduct, support w made of their impact on natural ar$d port them, reduces or eliminates from the groundwater system into ! allowance of actions in these por- beneficial floodplain values, their role in the reduction of flood surface asters, augmenting low l tions of the floodplain, the agencies Floodplains in their natural or rei, forces. In addition, excessive with- flows. must rigmusly apply the Order's atively undisturbed state serve water drawal of groundwater may result in , , charge to avoid these areas. resources values (natural moderadon land subsidence thereby increasing I of floods, water quality mainte- es 2. Livtwo assonness e.C.s. EVALUATION OF flood MAsAaB flood depths and exposing greater l nance, and groundwater recharge)* amas to nading. haluadon pmcedures must be es- living resource values (fish, wildlife
- The Nation's coastal and riverine Water Quemy Maintemace- floodplains support large and diverse [
- l. tablished in writing by all agencies. and plant resources), cultural re Floodplain vegetation functions in populations of flora and fauna This evalutUon serves to express l P*" "D**** "*t * *I maintaining the physical and chemi- which represent valuable, renewable clearly the hasard involved and pro- '"",
eauval"" n"e study, y scienU utdow edu- cal integrity of the water that ulti- mserces of great impwtance M i wides the basis for carrying out the ! m, and mentum), and cultivat- mately supports biological communi-tucceeding phases of the analysis. re values (agriculture, ties. Runoff is slowed by vegetation. **"- I Kty questions chich must be ad- aquacTu um,eand forestry). allowing the water to deposit not The floodplain is biologically very ! i dressed by the agencies in establish- only sediments origniating on land productive because it is here that f
' ing their regulations /and procedures i f r the evaluation of flood hasard 4.C.1. WATsa assoUncas but also those scoured from the land and water meet and the ele-include the following- Floodplains provide for the natu. channel bank and bed. Sediment de- ments of both terrestrial and aquatic position may add rich nutrients to habitats interact. For example, un-O b the proposed action to be locat. ral stormse of surface and r;round the floodplain soll and keeps sedi- spoiled tidal marshes rank well i ed in the floodway portion of the waters and the natural imprcrement ment-associated pathogens from the above intensively farmed croplands e
' riverine floodplain. Or the coastal of water quality. water. In the magnitude and diversity of : high hasard ares? #sterst Moderation Qf Flo9ds The However, siltatim can destroy bi* biological productivity. Marsh- l characteristJes of the floodrilain and logical comunities supported a rimmed estuaries and adjacent flood- ! O Is the proposed action in a flood- of flooding are closely inwrdepen. # fringe area such as the flood-fringe dent. Finds shape findohain topos. the floodplain because it contributes plains are vital to marine fisheries as portion of a riverine floodplain or raphy, soils, and ecology. In turn, to eutrophication (nutrient overload- breeding, nursery, and feeding i the backwater areas of a coastal the physical characteristics of the Ing), decreased dissolved oxygen, in- grounds. Inland ponds, potholes, i floodplain? floodplain shape flood flows. Except . creased water temperature, and seri- marshes and other wetland areas [ O Is the flood hasard aggravated by for some steep valley and coastal ous impairment of photosynthetic may provide highly important habi- ! the presence of, or potential for* bluff situations, naturally vegetated productivity. Vegetation shades tat for waterfowl and other wildlife. I ! destructive velocity flows, flood-re stream banks and decreases daily l lited erosion, subsidence or sink, floodplains can provide a broad area water temperature fluctuations Fish and wildlife resources are j holes, or other special problems? to spread and slow floodwaters, thereby alleviating temperature highly susceptible to man-induced i O b there a combination of flood thereby reducing velocities and flood stress to the blota. Vegetation slows disruption of the floodplain because ! sources present which may flood peaks. Stream meander, dune forma- the flow of water and provides slack of their high sensitivity to the re- i tion in coastal areas and other natu. waters that give the aquatic biota a sulting impacta. For example, drain- ! simultaneously in the ares (e.g'. ral processes which reduce the force river and ocean, or shallow over greater chance to survive flooding. age of wetlands, channelization of i ' land runoff and river, etc.)? Of floodwaters are also accommodat- In addition. flood-plain storage and natural water courses, clearing of l ed in undisturbed floodplains. vegetation reduces siltation in down- vegetation, especially bottomland ! ' 4.C. Natural and Benefletal Ft apa.a. Floodplain encroachment modifies stream reservoirs. forests, all have short and long term 6
- yng s these processes. The effects of such Groundwater Recharge An addi- indirect impacts on plant and animal l modification are complex and not tional value of floodplain vegeta- communities. Other changes that fully understood. Although in some tion's role in slowing runoff is in limit food, water supplies, or protec- l Water and the adjacent floodplain cases encroachments may internet groundwater recharge. Slowing the tive cover have similar effects. Modi-suist in nature in a state of dynamic with natural processes to aid in the floodwater allows it, to infiltrate fication of the floodplain at one 10-equilibrium. If one part of a coastal reduction of flood forces, their pre. through the generally porous flood- cation can , affect living resources 4
cr riverine pytem is disturbed the dominant effect has been to aggra. plain soll. Base streamflow and the elsewhere on the floodplain. entire system usually readjusta vate the flood hasard. [ Possem sseestes, vot. es, too. 39-PsIDay, possoasy is, two 33 ! 32 ressem seesstes. vot. es, eso. suessmay, sessoast se, tws
[.. .- , ; i > NOTIGS r
- NOTOGs will be designed and modified to 4.C.3. CULTUaAL assNacas sites. Leve1 or gently rollint flood- STEP 5 MINIMIZE. RESTORE.
l PRESERVE minimize harm to or within the I plain terrain facilitates agricultural floodplain. (Also see page I-4 on the [ Floodplains contain cultural re- operations. Surface and groundwater The requirements of the Order to requirements to minimize harm.) ! sources important to the Nation and sources are usually ensuy accessible' minimize. restore, and preserve ; .j ! to indtvidual localities. They provide Well-drained, deep soll suitable to apply if a proposed action will result LB. N and Pee ! many cultural values if left in their most economic in harm to or within the floodplain. ;
~ In the context of this Order. "re- l natural state. Because native Amerf* alent in the floodplain. Soils well The term " harm. " as used in the .
! can settlements and early cities were context of the Order applies to both store" focuses upon conditions exist-8Mclall y emps an also ilves and property (Step 4.B.). and ing as a result of prior actions, while [ ' located along coasts and rivers for I access to water transportation, ound on floodplains (e.g., the poorly natural and beneficial floodplain " preserve" focuses upon the impacts r supply, and power, floodplains in- drained areas of the Sacramento values (Step 4.C.). The concept of of a proposed action. E clude most of the Nation's earliest Valley where rice is a major crop). Restore means to reestablish a set-minimization harm. The concept (Step 5.A.), applies to ting or environment in which the of restoration archeological and historical sites. In Ho * *** and preservation (Step 5.A.) applies natural and beneficial floodplain addition to cultural richness, flood- and only to floodplain values. Step 5.C. values can again operate. Where in e Hoodplain may plains may be valuable sources for scientific research. Por example, be-y RHect natural Hedplain discusses some mechanisms svhich floodplain values have been degrad- ; values. They may be incompatible may be applied to achieve; these edIdentify, by past evaluate, actions, the agency must cause they may contain unique habi-with wildlife production; may induce three requirements. and implement 'j tats, they are ideal areas for ecologi-aggravated erosion and sedimenta. measures to restore the values di- 3 cai study. Floodplains are used for open space and green belt parks in tion; or may result in the drainage of LA. Minimalse minished or lost. The functions of : many of the Nation's degraded l cities to vary the pattern of the inland and tidal wetlands to inemase Minimize is a demanding standard floodplains can be partially or fully ; urban scene, to absorb noise, to the amount of arable land. Excessive and requires the agency to reduce restored through remedial action. clean air, to lower air temperatures, fertilisation and poor feedlot prac- harm to the smallest possible degree, Pmserve means to pment modi 4 l and to serve as nature centers and tices can result in nutrient pollution thus establishing a far more rigorous cation to the natural floodplain - outdoor experience labs. Floodplains in local water bodies. Thus, proper standard than other terms which mnmen or te ma i it as e ; are often attractive areas, a base for management practices are essential often are used in similar contexts, poss g, g recreation (hiking and camping), and where agriculture is proposed in sen- e.g., alleviate (to lessen), mitigate (to p
*DDlies foremost to flood'lains I' a base for water-oriented sports such sitive floodplain areas. moderate the severity of). am*Ho- a gng little or no disruption by as boating and swimming. In addi- rate (to improve), etc. Frn the "
" I tion, floodplain wildlife resources The use of floodplain areas for standpoint of lives and propuy, po- to o'r wlth t flood n, can be managed for recreational equacultural operations has grown tential harm to or within the flood- dest or odify the I hunting and fishing. Where they into a viable industry producing a plain must be reduced to the small- t to ure t at it 111 be car- i remain in essentially pristine condi- wide variety of aquatic crops. Aqua- est possible amount or degree. The ried out in a manner which preserves i tion, floodplains can be valued as a culture is subject to similar limits- goal is to avoid increasing the flood as much of the natural and beneft- [
part of the " wilderness experience" tions to those noted for agriculture, loss potential associated with the cial floodplain values as is possible. ! so important to the American Cul- but if properly managed, it can be level of the base flood prior to the ture. compatible with the natural values proposed action. Where a critical EC. Methods to Minimitse, Itesteve and of floodplains, and may offer opper-action is mposed w Step E.) W p,,,,,, goal is associated with higher levels . 4.c.e. AonICM.TUmAL, AQUACM.TUmAL, tunities for the restoration of dam- of flooding. . Similarly, from the A wide range of methods have j AM FoaESTmY masoUncEs apt floodplain values. standpoint of floodplain values, been developed over time to mini- ; Many of the Nation's valuable minimisation requires that harm to mise harm to lives and property l such values be reduced to the small- from flood hazards. In the recent l Floodplains generally provide ex- forest resources are found within cellent resources for agricultural. floodplains. Bottomland hardwoods est possible amount w degne. De # oh meh hW MM aquacultural and forestry produc- and other ripartan species (those
's mquinment to minimise po- minimMng h k nam d ,
tentist harm applies to (1) the in- beneficial environmental values, in- ' tion. which can only flourish in close vestment at risk, or the flood loss po- cluding those associated with the The natural processes nf sediment proximity to water) are important to tential of the action itself, (2) the floodplain, have also been developed. , renewal which take place in flood- the timber industry and the overall impact the action may have on The technology and methodologies ; plains replenish soil and their nutri- economy of the country. Thus, others, and (3) the impact the action for achieving restoration and preser- l ents. Thus with proper management, sound management of forest re- may have on floodplain values. The vallon are not as well documented floodplain soils generally require less sources in time floodplain is also es- agencies must specify in their regu- nor understqod, but currently are re-artificial fertilisation than upland sential. lations and procedures, how actions ceiving increasing attention. The i 34 mem eseum, vot es, no. zweeat mooney se, two M saneau asessee, voa. se, no, ,s_eemar, resevaar se. iwe i I
- . . = _ . _ _ - _ . , . . . . . _ . - _ _ _ - . - . . _ . . - . . - - . _ _ - _ _..____c. _ , . -._._._x_ - _ .
e + ~ NOTICES NOTICES s A6. AGRICMJmI. moURcEs e Require erosion control plans on tools and approaches, which are di- e Control urban runoff, other storm all timber allotments, roads, and rected toward attaining these three water, and point and nonpoint dis- e Minimize soil erosion on cropped skidways. goals of the Order, should be consid- charges. areas within floodplains. Implementing the above mecha-ered and applied at all stages of a e Control methods used for gradinE* e Control use of pesticides, herbl. nism may be achieved through many proposed action, as appropriate, e.g filling, soll removal and replace, eIdes, and fertlitzer. types of administrative measures, de-during the planning. design, con-struction, operation and mainte-ment, etc to minimize erosion and e Limit the size of fields, promote pending in part upon the agency nance of a proposed project. sedimentation during construction. fence rows, shelter belts and strip- programs and authority. cropping. Some examples are: Although the Order emphasizes e Prohibit the location of potential
- r. voidance of the floodplain as the pathogenic and toxic sources on e Strengthen water bank and soit e Engineering and realty section preferred manner for meeting its the floodplain, such as sanitary bantr type programs to be consis- standards and procedures.
Intent to avoid harm to or within the land fills and septic tank, etc* tent with alternate demands for e Contract, grant, loan, permit. and the use of agricultural land. floodplain, the following examples s.C s. GROUNDWATER RECHARGE e Minimize irrigation return flows are provided as additional guidance. The agencies should not be limited e Require the use of previous sur- and excessive applications of e Application of appropriate encum-brances during land conveyance. by the scope and level of detail of faces where practicable. water. e Design construction projects for s.C.T. AQUACULTURAL RESOURCES i o p p IC s.C.1. NATURA1. BioDERATION OF Floods runoff detention. e Construct impoundments to mln!- e Delegation of responsibility for O Minimize floodplain fills and ac- e Dispose of spoils and waste mate- mize any alteration in natural floodplain activities to a specific tions that require fills such as con. rials so as not to contaminate drainage and flood flow. Existing office with sufficient authority to struction of dwellings, factories, ground or surface water or change natural impoundments such as play an active leadership role both land contours. oxbow lakes and sloughs could be within and outside of the agency. highways, etc. O Require that structures and facill-
~ e Systematic review of existing sne. uvIno Resources o Limit the use of exotic species, agency programs to identify oppor-ties on wetlands provide for ade, quate flow circulation.
e Identify and protect wildlife habl- both plant and animal, to those or- tunities for floodplain value pres-tat and other vital ecologically sen. ganisms already common to the ervation and restoration. o Use minimum grading require- sitive areas from disruption' area or those known not to com- e Site surveys to identify opportunt-ments and save as much of the site pete unfavorably with existing nat- ties for floodplain preservation from compaction as possible. e Require topsoll protection pro- ural populations. grams during construction, and restoration; and O Relocate nonconforming struc- e Discourage mechanized oper-tures and facilities out of the e Control wetland drainage, chan- ations. Machinery such as dredges, e Provision of corrdination methods within and outside of agency to floodplain. nelization, and water withdrawal. weeders, and large-scale harvesting e lem* ta n n e Reestablish damaged floodplain equipment may lead to environ- {%bl a ag e O Return site to natural contours. mental problems such as sediment ecosystems' sures. O Preserve free natural drainage loading to adjacent watercourses. when designing and constructing e Minimize tree cutting and other STEP R AL ATE bridges, roads, fills, and large built. vegetation removal. a.C.s. FORESTRY RESOURCES up centers- e Design floodgates and seawalls to e Control the practice of clear-cut- Having identified the impacts the O Prevent intrusion on and destrue. allow natural tidal activity and es. ting, depending upon the species tuarine flow. harvested, topography, and loca- proposed action would have on the , tion of beach and estuarine ecosys- floodplain (Step 4), methods to mini-tems and restore damaged dunes tion. mize there impacts. and opportuni-sAs. Cm.TURAL RESOURCES and vegetation. e Complement state law governing ties to restore and preserve flood-s.C.2. WATER QUAMTY u s d ong other aswm of harvest open plain valaes Ger, 5); the proposed the waterfront for recreation, sci- ations; proximity to watercourses
- action shouM not be reevaluated.
O Maintalp wetland and floodplain entific study, educational instruc- limits on roadbuilding, equipment For propased actions in the base vegetation buffers to reduce sedi- tion, etc. Intrusions, etc. floodplain. the reevaluation should mentation and delivery of chemi- e locate and preserve from harm o Include fire management in any consider if the action is still feasible cal pollutants to the water body. historical cultural resources; con. overall management plans. Selec- at this site. If not, consider limiting O Control agricultural activities to sult with appropriate governmen. Live fire use may reduce the prob- the actiort to make non. floodplain minimize nutrient inih,a. ability of major destructive fires. sites practicable. If neither is accept-tal agency or private group, 36 noseAt eroistee. vot. 43. no. reassoAv. noeuAar so, iers
""*L" " * "8 *'" " " " " "
~ . - - . u_ .- . - - ~ - - . - - - - - - - _ ~ _ . . - - - . - . - - . - - - --- -
e * = , NOTICES NOTICES r.ble, the alternative is no action. If 6.C. No Action 6. A provision for a brief comment tion to this step. Section 2(aM4) of the proposed action is outside the period prior to agency action (15 to the Order requires the same public . If neither of the above courses of 30 days); notice procedures for Federal ac-base floodplain but has impacts action are feasible, the agency which cannot be minimised (Step 5), 7. A description of how the activity tions in the floodplain even though consider whether the action can be should reevaluate the no action al- will be designed or modified to mini- Impacts are not significant enough modified or relocated to eliminate or l""II' mise harm to or within the flood- to require the preparation of an en-reduce the identified impacts, or if plain; vimnmen al Impac statement MS) STEP 7-FINDINGS AND PUBLIC 8. A statement indicating how the under Section 102(2XC) of NEPA the no action alternative should be EXPLANATION chosen. action affects natural or beneficial (Public Law 91-190). Under NEPA procedures, a final The reevaluation should also in- If reevaluation results in the deter- floodplain values: clude a provision for comparison of mination that there is no practicable 9. A statement listing other in- EIS is circulated for public and in-tha relative adverse impacts associat- alternative to locating in or impact- volved agencies and individuals. teragency review and comment. A ed with the proposed action located ing the floodplain, a statement of minimum of 30 days is required to
- in and out of the floodplain. The findings and public explanation 7.A. Intermeeney Notice allow a review and to receive re-comparison should emphasise flood- must be provided for the proposed Certain public review procedures sponses from the public and govern-plain values. However, a site out of action. Each agency should explain already exist with which the Order's mer.tal agencies. These comments th2 floodplain should not be chosen how any tradeoff analysis was con- review requirements are to be inte- must then be considered. The find-Ings must be made in conjunction i if the overall harm is significantlY ducted by the agency in making its grated. with a final agency decision. and the greater than that associated with findings. Some existing agency th2 floodplain site. public notice procedures may al- 7.A.t. PaocaAus suasser to oun formal statement of findings re-ready satisfy part of the require, CIRCULAR A-ss quired by the Order must be lasued 6.A. Location la the Base Fleedplain For programs subject to OMB Cir. priorAtofinal initiating the proposed ments of the Order (Section action. EIS should explain. If '
In determining whether the pro- 2(aM2Mii)) through such me-ha- cular A-95, the agency shall send a posed action will be located in the nisms as OMB A-95 and NEPA pro- notice, not to exceed three pages in appropriate, why the responsible of-ficial has recommended or why the
- base floodplain, the agency must as- cedures, or other public involvement length including a location map, to certain that the floodplain site is the - programs. However agency proce- the State and areawide A-95 agency might support an action 10--
only practicable alternative. Fur- dures must incorporate the develop- clearinghouse for the areas affected. cated in a floodplain. ther, the importance of the location. ment and issuance of a written state- The notice shall include (as a mini- 7.C. All Actions leested in the Base : must clearly outweigh the require- ment of findings and public explana. mum) 1, 2, and 3 from above. It Floodplain ments of the Order to: tion which includes: would also be helpful to the review- ;
- 1. A description of why the pro. er, and consistent with the intent of A statement of findings (including O Avoid direct or indirect support of floodplain development wherever posed action must be located in the the Order, to include items 4 the explanatory information dis- ,
there is a practicable alternative; floodplain; through 9. cussed in 7.A.) must be issued by the '
- 2. A description of all significant agency head in compliance with Sec-O Reduce the risk of flood loss; 7.A.s. ornam rnocaAus tion 2(aM2) of the Order. This ap-facts considered in making the deter-O Minimise the impact of floods on. mination including alternative sites For programs not subject to OMB- plies to all proposed actions located human safety, health and welfare; and actions; 95 review procedures, agencies must within or impacting the floodplain, and ~ 3. A statement indicating whether develop procedures to provide for including proposed actions whose O Restore and preserve the natural the actions conform to applicable similar notice and explanation of impacts are not significant enough and beneficial floodplain values. State or local floodplain protection why a proposed action is to be locat- or are not otherwise required to standards, ed in a floodplain. This notice must complete an EIS. ;
4.B. Lhnit Actie" be circulated among agencies and In addition, and in keeping with STEP 8-IMPi,EMENT ACTION also made available to the public for If an action proposed to be located the concept of the overall public in. F'VI'W- With the conclusion of the deci. in the floodplain cannot satisfy the volvement process discussed in Step sfon-making process described in four requirements in Step 6.A., con. 2, the following flems should be in- 7.B. Actione Subject to NEPA tider reducing the criteria for the cluded in the statement of findings Steps 1-7. the proposed action can . proposed action. This would lower and public explanation: For agency actions subject to be implemented. However, there is a t the threshold for what constitutes a 4. A statement indicating why the NEPA which take place in the base continuing responsibility for insur-
- practicable alternative. New alterna. NPIP criteria are demonstrably in- floodplain the public review require- ing that the action is carried out in tive actions and sites could then be appropriate for the proposed action; ments discussed above as set out in compliance with the Order. This is identified and previously rejected 5. A prov!sion for publication in Section 2(b) of Executive Order especially important for projects 11514. as amended, should include with long-term operation, mainte-ones reevaluated for practicability the FEDanAI. Ruotsysm or other ap.
based on scaled-down expectations. propriate vehicle; the nine items listed in the introduc- nance and repair programs such as ; 38 passant meessven. vot. 43. seo. so--eemay, pesavaev to. two pensaat meessnee. vot. 43, eso. so-eamar, ressuamy to. two 39 i I I
_ ~ . - - - . - _.-- - -. --. e* , NOTICES NOTICES reservoirs or waste treatment facill- graphs. Each office provides- (1) in. each point and the current year's knowledge of flood elevations for terpretations as to flood depths, ve. maximum stage as well as the maxi- many urban locations and can pro-ties. mum state of record. This publica- vide knowledge of material available locities and durations from existing APPENDIX A-FLOODPLAIN SERV- data; (2) develops new data through tion is for sale by the National Cll- to assist in making a determination ICES AVAILABLE FROM LISTED field and hydrologic studies for in. matic Center of NOAA. Asheville, of floodplain location. The location North Carolina 28801. The National of the nearest office may be ob-AGENCIES terpretation; and (3) provides guld. Weather Service provides flood fore- tained from one of HUD's 10 region-ance on adjustments to minimise the casts and warnings on larger rivers al offices or by contacting Federal DEPARTMENT OF AGRICULTURE adverse effects of floods and flood- and provides flash flood warnings on Housing Administration. 451 7th SeH Conservetten Service M) plain development. If the nearest smaller streams. Interested commu- Street SW., Washington, D.C. 20410. As part of the SCS's Floodplain District office address is not known,
- is in establishing Telephone: 202-755-5111.
Management Assistance Program contact Chief. Flood Plain Manage- pg'*od o gy each State Conservadonist carries ment Services (FPMS). U.S. Army For information and assistance Federal Insurance Adeninistration oui . : Terative Flood Hasard Analy. Corps of Engineers. HQDA (DAEN- " ntact the following National Request for insmance maps or ses upon request of local govern- CWP-F). Washington. D.C. 20314 Weather Service Regional Offices *. studies should be addressed as fol-ments, in accordance with a Joint telephone 202/693-1691 or the near. Eastern Region. Garden City NY 212- lows: Coordination A.w...c.t with the est Division office. N tic Division. New York. NY. Sou h rn Reston. Pt. Worth. TX 817- or v B FIRMS and h fl reports are distributed upon publica- j lineations on aerial photomsps. South Atlantic Division. Atlantic GA. C t egion. Kansas City. MO. 816- "" ""*" "" " flood profiles, and discharge and 404-221-4702 374-3229 mailing list. In requesting to be floodway data. In addition. SCS pro. Southwestern Division. Dallas. TX 214- Western Region, Salt take City. UT. 301- added to the malling list, the agency l vides continuing tech 2tical assistance 787-2310 524-5137 Alaskan Region.' Anchorage. AK. 907- should specify the number and dis-to local governments, after comple- South Pacific Mvision. San Francisco. tribution of maps required (for ex-CA*438' ass-sese 265-471e tion of a flood hasard or insurance "''' Y"I3*# " '*"* Y'*h*- Pacific Region. Honolulu, HA. 808-546- ample, two copies of each map for study, to help them implement their I"**'."MS. burg 001-438-1311 Ext.'386 5600 Maine and New Hampshire commu-local floodplain j gram. Each SCS Sta t flee has ad- 402 1-Storm surge frequency informa. Malling nities tolistBoston regional inquiries officel. should be sent ditional flood elevallon and related North Central Dtvision. Chimso. H+ 312- tion and interpretative assistance floodplain data on file from Water- 363-e631 are available for the Gulf of Mexico M- i shed Project and Resource and Con- Ohio River Division. Cincinnati. OH. 513- and Atlantic coasta. Studies have Engineering Division. Federal Insurance serv"tlon Development Project in. 8e4-3012 been completed for the Gulf of Administration. Room 5150 HUD North Pacific Division. Portland. OR. Mexico coast from the Alabama- Building. 4517th Street. SW Washing-vestigallons. River Basins Surveys. 503-221-3823 Florida border to southern Florida; ton. D.C. 20514. Telephone: 202-755-and detailed soll surveys. If the 9.,,",'I*"d ham. MA, and along the Atlantic coast from 7510. State or fleid office address is not 2400 southern Florida to Cape Henlopen. (2) Requests for a Single Map. . known contact: Chief. Floodplain Pacifle Ocean Division. APO h h the southern boundary of Delaware Request (s) for a previously pub-Management and Special Projects co.808-434-sess Bay. The National Weather Service lished FHBM or FIRM may be made t Branch, River Basins Division. SCS: P.O. Box 2890. Washington. D.C. DEPARTMENT OF COMMERCE also provides warnings of sto m by calling FIA's toll free number l NOAA-N=*w Weetiser Service surges associated with tropical and 800-424-8872 from outside of the 20013. Telephone 202-447-7697. extratropical storms. For sto m Washington D.C. area, or 755-9096 DEPARTMENT OF THE ARMY Floodplain information and inter- surge frequency information and in- from within the Washington D.C. i Cerys of Emaineers pretative assistance for specific terpretative assistance contact: ** points on larger rivers of the United Chief
- Water Management Informa- # *# #"# " "## # ##
The Corps' separately funded States can be obtained from the Na- tion. NWS Office of Hydrology These detailed endneering reporta Flood Plain Management Services tional Weather Service. Information (W21). 8060-13th - Street. Silver are distributed to those on the mail-Program has unita in 47 District and available constats of the flood stage - Spring MD 20910. Telephone: 301- ing list when a FIRM is initially pub-Division offices located throughout for selected communities (the stage 427-7543' lished. However, because there has , the country which provide informa- above which flood damage occurs). not been a recurring demand for this tion and assistance in flood-related and historical flood information for DEPARTMENT OF HOUSING AND informatien. FIA does not have a ; m"tters. They maintain a file of that location. An annual publication URBAN DEVELOPMENT sy su@W c@es M W-floodplain information, survey, and entitled River Forecasts Provided by Federal Housing Adannistration ested organizations at a later date. ether reports containing floodplain the National Weather Service, lista The civil engineer at the 78 local Copies are available at- (1) FIA's En- ; delineations, flood profiles, and data the points for which data are com. or regional offices has specific gineering Difision (address above); on flood discharges and hydro- piled and includes that flood stage at
'assant meesstua. vot. as, seo, swassay, peesuaar se, two 41 40 pansman acessaan, vot. ah seo. so-samar, possuaar se, two
e* *. NOTICES NOTICES (2) FIA Regional Offices (see !!st Bureau of Land Management STATES tershed. Since 1953. TVA has con-below) and (3) Chief Executive Offi' The Bureau of Land Management ducted a program of floodplain man- Many (but not all) States have cer of the local community within (BLM) has District Offices located in agement assistance to local govern- active floodplain ma gemen
*, which the action is proposed to be the 11 Western States and Alaska in. ments. Reports have been published grams. They have on e or g carried out volved in land use planning for for more than 130 mu t es and t fl plain n Region I-Boston. 617-223-2616 public lands. Floodplain protection have provided Region Il-New York City. 212-264-4734 and flood prevention is a significant data to at less thers Detailed glonal organizations, special districts Region III-Philadelphia. 215-597-9581 element in the BLM planning information in files pertalb to large and private consultants. State agen-Region IV-Atlanta. 404-257-2391 system, and each District Office floods which have occurred in the cles are usually staffed and funded j Region V-Chicago. 312-353-0757 maintains a file of existing flood- Valley since the 1930's, and in less o:(1) coordinate floodplain manage-Region VI-Dallas.214-749-7412 plain maps which are available for detail dating back to the large flood ment activities; (2) develop minimum Region VII-Kansas City. 816-374-2161 public inspection. If the location of of 1867. TVA's Flood Plain Manage- stan a Region VIII-Denver. 303-837-5041 the District Office is not known* con- ment Services Staff provides techni- (3) ass cal assistance to heIp those who pro. (counties, cities, etc.) in developing Region IX-San Francisco.415-556-3543 Region X-Seattle. 206-442-1026 tact gureau of Land Management, noodplain management programs; U.S. Department of the Interior, pose developments in iloodplains to and (4) interpret available floodplain Requests for floodplain manage- 18th & C Streets. NW., Washington. use the floodplain wisely. Contact
- nformation. For most States, the ment services, and a list of experi- D.C. 20240. Telephone: 202-343-5717. Flood Plain Management Services, appropriate contact is the Depart-enced consulting engineers may be 100 Liberty Building, Tenness-obtained from the Director. Flood. Bureau of Reclamation Valley Authority. Knoxville. TN. ment Water Resources Division. At the of Natural Resources or the plain Management Division. Federal The flood hydrologist at the seven 37902. Telephone: 615-632-4451. substate level, regional agencies such Insurance Administration 451 7th regional offices has knowledge of as conservancy districts and multi-Street. S.W., Washington. D.C. flooding and flood elevation for re- DELAWARE RIVER HASIN county planning agencies may be a 20410. Telephone 202-426-1891. lated locations associated with COMMISSION source of floodplain data and inter-Bureau projects and can provide in- The Commission maintains a file pretation.
DEPARTMENT OF Tile INTERIOR terpretive assistance for existing of floodplain information, delinea-Geological Survey data. tion and flood data studies prepared APPENDIX H-RELATED PROGRAMS User Assistance Centers at 48 loca- For information contact one of the by the Commission. Federal agencies AND REFERENCES tions can provide (a) factual infor- seven regional or nearby project of- and others. Where data exist, assis- Publications mation on flood peaks and dis-fices or the Flood Hydrology Sec- tance with interpretation will be pro- Useful information on many of the charges, flood depths, and velocities. P.O. U.S. tion. Bureau of Reclamation. Box 25007 Denver Federal vided. Contact Head. Branch of Op- subjects discussed in this document profiles of the water surface during Center. Denver. CO. 80225. Tele- erations. Delaware River Basin Com- is found in the following publica-major floods, areas inundated during phone: 303-234-2035. mission. P.O. Box 7360, West Tren- tions, which describe programs and major floods, time-of-travel of flood ton N.J. 08628. Telephone: 609-883- studies related to the objectives of wave, and sediment transport data: 9500* Executive Order 11988: Fish and Wildlife Service (b) Interpretive information regard- "A n led Na na g The Fish and Wildlife Service pro. SUSQUEllANNA RIVER BASIN , ing flood-frequency relations, esti- vides expertise on questions relating COMMISSION ocument 465. 89th Congress. 2nd mates of 10 50,100 and 500 years to fish. wildlife, and habitat re- The Commission maintains a file Session. A report by the Task flood discharges, computed water source. preservation. and mainte- of deta!!ed hydrologic ar:d hydraulic Force on Federal Flood Control t,urface profiles, and flood-prone nance. It functions through six re- information for 245 basin communi- Policy. August.1966. areas delineated on topographic gional, area and field offices. For in- ties studied under the National maps. In most communities in the formation contact any of these of- Flood Insurance Program for HUD. Rules and Regulations of the Nation-United States, with known flood fices, or the Fish and Wildlife Ser- Limited additional hydrological data problems; and (c) assistance in mini- vice. U.S. Department of the Interi- O t. 26 1976. at CFR 1909, mizing flood losses by quickly identi- or.18th and C Streets NW Wash- for other areas also is available. The 0 ' Copies of the rules and re-Commission can provide general in. e ,sa nas can be obtained from fying areas of potential flood haz- ington. D.C. 20240. Telephone: 202- formation and guidance on flood-trds. If the User Assistance Center 343-5715. [he U.S. Department of Housing plain management measures. Con- and Urban Development. Federal address is not known. contact Chief, tact Chief. Planning and Oper-Surface Water Branch. Water Re- TENNESSEE VALLEY AUT110RITY ations. Susquehanna River Basin Administration. Wash-f,"gton. D C. 20410. sources Division. U.S. Geological Activities in water resources are Commission. 1721 North Front Survey, National Center. Reston, confined to portions of the seven Street. Harrisburg, PA.17102. Tele- Regulation of Flood Hazard A as io VA. 22002. Telephone: 703-860-6837. States in the Tennessee Valley Wa- phone: 717-238-0425. Reduce flood Losses. A 2 ume 42 receRAL REO45TER. Vol. 43, NO. 29-PRIDAY. FESRUARY 10, 1978 FEDERAL REGISTER Vot. 43. No. 29 7RioAY, PfseUARY 10, lors 43
- ._- - - . . - - . . . - . - - - - - - . - _ - . -.-----~ .~ . - - . - - . .& - ~,
e a
- i
- i NOTICES NOTICES l vork published by the Water Re- National Trail Systems Act (16 USC The problem arises mainly from SacTrom 1. Each agency shall pro- l unwise land use practices. The Fed- vide leadership and shall take action i sources Council in 1971-1972. It . 1241). NPS contains legal aspects of and draft Msh and Wildlife Coordination Act (16 eral Government can be responsible to reduce the risk of flood loss to 1 legislation for riverine and coastal USC 661) Fish and Wildlife Restoration for or can influence these practices minimise the impact of floods on ['
floodplain regulation programs of Projects t16 USC 777 and 669). FWS in the construction of projects, in human safety. health and welfare, ttates and local governments. En end Species Act (16 USC 1531). the management of its own proper- and to restore and preserve the nat- , Mood proofing Regulations. UA The Wilderness Act (16 USC 1131). Var. ties, in the provision of financial or ural and beneficial values served by 3 Army Corps of Engineers, June
- tous technical assistance including sup- floodplains in carrying out its re- ,
i 1972 (EP1165-2-314). 1and and Water Conservation Fund Ac+. port of financial institutions. and in sponsibilities for (1) acquiring, man- ! (16 USC 4601), HCR8 the uses for which its agencies lasue agtng, and disposing of Federal lands I A Un(fied National Program for Antiquites Act of 1906 (16 USC 431). licenses or permits. In addition to and facilities:(2) providing Federally Mood Pfein Management, U.S. HCR8 minimizing the danger to human undertaken, financed, or assisted i Water Resources Council. July, Archeolosteal and Historic Preservation and nonhuman communities living construction and improvements; and [ 1976. Act of 1974 (16 USC 469). HCR8 in floodplains, active floodplain (3) conducting Federal activities and A Perspective on Mood Plain Regula- Agencies should consider reviewing management represents sound busi- programs affecting land use, includ- l tions for Mood Pfein Management this body of legislation, act by act, in ness practice by reducing the risk of ing but not limited to water and re- ; UA Army Corps of Engineers, light of the Order to uncover oppor- flood damage to properties benefit- lated land resources planning, regu. ; June,1976 (EP1165-2-304). ing fran Neral assistance. lating, and licensing activities. ! tunttles within their existing pro- Because unwise floodplain develop- Sec. 2. In carrying out the activi- ; ' trams for protecting the natural and Elevated Residential Stractu ment can lead to the loss of human ties described in Section 1 of this HUD, Federal Insurance Admints'- beneficial floodplain values under and other natural resources, it is Order, each agency has a responsi- ! tration. September,1976' the powers of these acts as well as to simply a bad Federal investment and bility to evaluate the potential ef-4 uncover problem areas in meeting should be avoided. In order to avoid fects of any actions it may take in a l Relevant Legislative Antherity and mandates (lack of guidance ceiling
- to the extent possible the long-and floodplain; to ensure that its plan- l Statenwat of C .. " Purpose for budgets, etc.) short-term adverse impacts associat- ning programs and budget requests j Minismising Fleedpinin Encreeclunent ed with the occupancy and modifica- reflect consideration of flood haz- t APPENDIX C-E.O.11988, ;
There is a large body of Federal tion of floodplains and to avoid ards and floodplain management; FLOODPLAIN MANAGEMENT direct or indirect support of flood- and to prescribe procedures to imple- ! legislation relevant to preservation Statenwnt by the President plain development wherever there is ment the policies and requhements i or restoration of floodplains. Some of the major items of legislation are Accompanying M.18988. May 24,1977 a practicable alternative. I have of this Order, as follows: ! i listed below. The floodplains which adjoin the issued an Executive order on flood- (a) (1) Before taking an action, Nation's inland and coastal waters plain management. each agency shall determine wheth- . N '* " " '8'"#7 have long been recognized as having er the proposed action will occur in a l W:ter Resources Planntns Act (42 USC special vah'es to our citizens. They M. IINMeedplain Managent floodplain-for major Federal ac- ! 1982). WRC have provided us with wildlife habi- By virtue of the authority vested tions significantly affecting the qual- i W d P m en- tat, agricultural and forest products, in me by the Constitution and stat. ity of the human environment, the tion Act(! 001 stable ecosystems, and park and re- utes of the United States of Amer. evaluation required below will be in-River and Harbor Act of test (33 USC creation areas. However, unwise use lea, and as President of the United cluded in any statement prepared , 001). COE States of America, in furtherance of under Section 102(2)(C) of the Na- t Flood Control Act of 1944 (18 USC 400d, and development of our riverine, et al.). COE coastal, and other floodplains not the National Environmental Policy tional Environmental Policy Act. Mood Disaster Protection Act of 1973 (42 only destroy many of the special Act of 1969, as amended (42 U.S.C. This determination shall be made ac- i i USC 4001). qualities of these areas but pose a 4321 et seq.), the National Flood In- cording to a Department of Housing Federal Water Pollution Control Act severe threat to human life, health, surance Act of 1968, as amended (42 and Urban Development (HUD) t Amendments of 1972 (33 USC 1251), and property. U.S.C. 4001 et seq.), and the Flood floodplain map or a more detailed ? EPA Since the adoption of a national Disaster Protection Act of 1973 map of an area, if available. If such
- s nt Act (18 USC flood control policy in 1936, the Ped- (Public Iaw 93-234, 87 Stat. 975), in maps are not available, the agency 5
eral Government has invested about order to avoid to the extent possible shall make a determination of the p Burface mainins Control and Reclamall " $10 billion in flood protection works. the long and short term adverse im- location of the floodplain based on j Act of 1977. OSM Despite substantial efforts by the pacts associated with the occupancy the best available information. The ;
"1890 Orsanic Act" of the National and modification of floodplains and Water Resources Council shall issue p Weather Service (15 USC 311) NOAA Federal Government to reduce flood N uonal Environmental Policy Act (42 hazards and protect floodplains, to avoid direct or indirect support of guidance on this information not :
USC 4321). CEQ annual losses from floods and ad- floodplain development wherever later than October 1,1977. I Wild and Scenic Rivers Act (16 USC verse alteration of floodplains con- there is a practicable alternative, it (2) If an agency has determined to, l 1271), NPS tinue to increase. is hereby ordered as follows: or proposes to, conduct, support, or 44 pensaat assessen, vot. 43, no. 3,-pesar, seenvaar it i,re pensaat 80eI5 sa. Vot. 43, No. 3,-#SIDay, pettuaET 10, fore 45 i I
-o*
- e.
NOTICES NOTICES rJIow an action to be located in a and Budget shall indicate, if an (a) The regulations and procedures ed (42 U.S.C. 4106 and 4128), agen-floodplain, the agency shall consider action to be proposed will be located established under Section 2(d) of cles which guarantee, approve, regu-alternatives to avoid adverse effects in a floodplah% whether the pro- this Order shall, at a minimum, re- late, or insure any financial transac-and incompatible development in posed action is a accord with this quire the construction of Federal tion which is related to an area 10-the floodplain. If the head of the Order. structures and facilities to be in ac- cated in a floodplain shall, prior to agency finds that the only practica- (c) Each agency chall take flood- cordance with the standards and cri. completing action on such transac-ble alternative consistent with the plain management into account teria and to be consistent with the tion, inform any private parties par-law and with the policy set forth in when formulating or evaluating any ' intent of those promulgated under ticipating in the transaction of the - this Order requires siting in a flood- water and land use plans and shall the National Flood Insurance Pro. hasards of locating structures in the plain, the agency shall, prior to require land and water resources use gram. They shall deviate only to the floodplain. taking action. (1) design or modify its appropriate to the degree of hazard extent that the standards of the Sec. 5. The head of each agency action in order to minimise potential involved. Agencies shall include ade- Flood Insurance Program are de. shall submit a report to the Council harm to or within the floodplain, quate provision for the evaluation monstrably inappropriate for a given on Environmental Quality and to consistent with regulations issued in and consideration of flood hazards type of structure or facility. the Water Resources Council on accord with Section 2(d) of this in the regulations and operating pro- (b) If, after compliance with the June 30,1978 regarding the sta us Order, and (ii) prepare and circulate cedures for the licenses, permits, a notice containing an explanation loans or grants-in-sid programs that requirements of this Order, new con-struction of structures or facilities j'f Orde on he ency's ope of why the action is proposed to be they administer. Agencies shall also are to be located in a floodplain, ac- attons. Thereafter, the Water Re-located in the floodplain. sources Council shall periodically encourage and provide appropriate cepted floodproofing and other flood evaluate agency procedures and (3) For programs subject to the guidance to applicants to evaluate protection measures shall be applied Office of Management and Budget the effects of their proposals in to new construction or rehabilita- t. heir effectiveness. Circular A-96. the agency shall send floodplains prior to submitting appli- tion. To achieve flood protection. Sec. 6. As used in this Order-(a) The term " agency" shall have the notice, not to exceed three pages cations for Federal licenses, permits, agencies shall, wherever practicable, the same meaning as the term "Ex-in length including a location map, loans or grants. elevate structures above the base ecutive agency" in Section 105 of to the state and areawide A-95 (d) As allowed by law, each agency flood level rather than filling in Title 5 of the United States Code clearinghouses for the geographic - shall issue or amend existing regula. land. and shall include the military de-areas affected. The notice shall in- tions and procedures within one year (c) If property used by the general partments; the directives contained clude: (1) the reasons why the action to comply with this Order. These public has suffered flood damage or in this Order, however, are meant to is proposed to be located in a flood- procedures shall incorporate the is located in an identified flood apply only to those agencies which plain; (11) a statement indicating Unified National ni.siers for Flood- hasard area, the responsible agency perform the activities described in whether the action conforms to ap- plain Management of the Water Re- shall provide on structures, and Section I which are located in or af-plicable state or local floodplain pro- sources Council, and shall explain other places where appropriate, con- fecting floodplains. tection standards and (111) a list of the means that the agency will spicuous delineation of past and (b) The term " base flood" shall the alternatives considered. Agencies employ to pursue the nonhasardous probable flood height in order to en- mean that flood which has a one shall endeavor to allow a brief com- use of riverine, coastal and other hance public awareness of and percent or greater chance of occur-ment period prior to taking any floodplains in connection with the knowledge about flood hazards. rence in any given year. action. activities under its authority. To the (d) When property in floodplains (c) The term " floodplain" shall (4) Each agency shall also provide extent possible, existing processes, la proposed for lease, easement. mean the lowland and relatively flat opportunity for early public review such as those of the Council on En- right-of-way, or disposal to non-Fed- areas adjoining inland and coastal of any plans or proposals for actions vironmental Quality and the Water eral public or private parties, the waters including floodprone areas of in floodplains, in accordance with Resources Council, shall be utilised Federal agency shall (1) reference in offshore Islands, including at a mini-Section 2(b) of Executive Order No. to fulfill the requirements of this the conveyance those uses that are mum, that area subject to a one per-11514, as amended, including the de- Order. Agencies shall prepare their restricted under identified Federal. cent or greater chance of flooding in velopment of procedures to accom- procedures in consultation with the State or local floodplain regulations; any given year. plish this objective for Federal ac- Water Resources Council, the Feder- and (2) attach other appropriate re- Sac. 7. Executive Order No.11296 tions whose impact is not significant al Insurance Administration, and the strictions to the uses of properties of August 10, 1966, is hereby re-enough to require the preparation of Council on Environmental Quality, by the grantee or purchaser and any voked. All actions, procedures, and an environmental impact statement and shall update such procedures as successors, except where prohibited issuances taken under that Order under Section 102(2)(C) of the Na- necessary. by law; or (3) withhold such proper- and still in effect shall remain in tional Environmental Polley Act of Sec. 3. In addition to the require- ties from conveyance. effect until modified by appropriate 1969, as amended. ments of Section 2, agencies with re- Sec. 4. In addition to any responsi- authority under the terms of this (b) Any requesta for new authori- sponsibilities for Federal real prop- bilities under this Order and Sec- Order. sations or appropriations transmit- erty and facilities shall take the fol- tions 202 and 205 of the Flood Disas- Sac 8. Nothing in this Order shall ted to the Office of Management lowing measures: ter Protection Act of 1973, as amend- apply to assistance provided for 46 passant seesstem. vot. as, no. so--nusar, pensuaar te, swa pessoa acessvaa, vot. as, no. so-seinar. ressumer ie, two 47
o*
- s 6
NOTICES NOTICES emergency work essential to save torted in the 1950's. This piecemeal facilities; and (2) providing Federally mitted to the Office of Management lives and protect property and public alteration and destruction of wet- undertaken. financed, or assisted and Budget shall Indicate, if an health and safety, performed pursu- lands through draining, dredging, construction and improvements; and action to be proposed will be located ant to Sections 305 and 306 of the filling, and other means has had an (3) conducting Federal activities and in wetlands, whether the proposed Disaster Relief Act of 1974 (88 Stat. adverse cumulative impact on our programs affecting land use, includ- action is in accord with this Order. 148,42 U.S.C. 5145 and 5146). natural resources and on the quality ing but not limited to water and re- SEC. 4. When Federally-owned wet. Szc. 9. To the extent the provi- of human life. lated land resources planning, regu- lands or portions of wetlands are i lating, and licensing activities. proposed for lease, easement, right-sions of Section 2(a) of this Order The problem of loss of wetlands (b) This Order does not apply to of-way or disposal to non-Federal cre applicable to projects covered by arises mainly from unwise land use Section 104(h) of the Housing and practices. The Federal Government the issuance by Federal agencies of public or private parties, the Federal Community Development Act of can be responsible for or can influ. permits, licenses, or allocations to agency shall (ai reference in the con-1974, as amended (88 Stat. 640, 42 ence these practices in the construe. private parties for activities involv- veyance those uses that arc restrict-U.S.C. 5304(h)), the responsibilities tion of projects, in the mLnagement Ing wetlands on non-Federal proper- ed under identified Federa?, State or ty. local wetlands regulations, and (b) under those provisions may be as- of its own properties, and in the pro. sumed by the appropriate applicant, visions of financial or technical assis. SEc. 2. (a) In furtherance of Sec- attach other appropriate restrictions if the applicant has also assumed, tance. tion 101(bM3) of the National Envi- to the uses of properties by the gran-with respect to such projects, all of In order to avoid to the extent pos- ronmental Policy Act of 1969 (42 tee or purchaser and any successor, th2 responsibilities for environmen- sible the form and short term ad. U.S.C. 43:11(bM3) to improve and co- except where prohibited by law; or tal review, decisionmaking, and verse impacts nascciated with the de. ordinate Federal plans, functions. (c) withhold such propertien from action pursuant to the National En- struction or twdification of wetlands programs and resources to the end disposal. that the Nation may attain the SEc. 5. In carrying out the activi-vironmental Policy Act of 1969, as and to avoid direct or indirect sup- widest range of beneficial uses of the ties described in Section 1 of this amended. port of new construction in wetlands environment without degradation Order, each agency shall consider Jrumr Caarra. wherever there is a practicable alter-and risk to health or safety, each factors relevant to a proposal's native, I have issued an Executive Th2 White House
- order on the protection of wetlank agency, to the extent permitted by effect on the survival and quality of May 24* 1977* law, shall avoid undertaking or pro- the wetlands. Among these factors Executive Order litte-Protection of viding assistance for new construc- are: -
APPENDIX D-E.O. Il99e tion located in wetlands unless the (a) public health, safety, and wel-PROTECTION OF WETLANDS Wetlande Statement by the President head of the agency finds (1) that fare, including water supply, quality, Accompanying E.O. II996 By virtue of the authority vested there is no practicable alternative to recharge and discharge; pollution; in me by the Constitution and stat- such construction, and (2) that the flood and storm hazards; and sedi-The Nation's coastal and inland utes of the United States of Amer- proposed action includes all practica- ment and erosion; wetlands are vital natural resources lea, and as President of the United ble measures to minimize harm to (b) maintenance of natural sys-cf critical importance to the people States of America, in furtherance of wetlands which may result from tems, including conservation and cf this country. Wetlands are areas the National Environmental Policy such use. In making this finding the long term productivity of existing cf creat natural productivity, hydro- Act of 1969, as amended (42 U.S.C. head of the agency may take into ac- flora and fauna, species and habitat logical utility, and environmental di- 4321 et ses), in order to avoid to the count economic, environmental and diversity and stability, hydrologic versity, providing natural flood con- extent possible the long and short other pertinent factors. utility, fish, wildlife, timber, and trol, improved water quality, re- term adverse impacts associated with (b) Each agency shall also provide food and fiber resources; and charge of aquifers, flow stabilization the destruction or modification of opportunity for early public review (c) other uses of wetlands in the cf streams and rivers, and habitat wetlands and to avoid direct or indi- of any plans or proposals for new public interest, including recreation-for fish and wildlife resources. Wet- rect support of new construction in construction in wetlands, in accor- al, scientific, and cultural uses. lands contribute to the production wetlands wherever there is a practi- dance with Section 2(b) of Executive SEC. 6. As allowed by law, agencies cf agricultural products and timber, cable alternative, it is hereby or- Order No.11514, as amended, includ- shall issue or amend their existing and provide recreational, scientific, dered as follows- ing the development of procedures procedures in order to comply with and aesthetic resources of national SacTrom 1. (a) Each agency shall to accomplish this objective for Fed- this Order. To the extent possible, interest. provide leadership and shall take eral actions whose impact is not sig- existing processes, such as those of The unwise use and development action to minimize the destruction, nificant enough to require the prep- the Council on Environmental Qual-of wetlands will destroy many of loss or degradation of wetlands, and aration of an environmental impact ity and the Water Resources Coun-th;ir special qualities and important to preserve and enhance the natural statement under Section 102(2)(C) of cil, shall be utilized to fulfill the re-natural functions. Recent estimates and beneficial values of wetlands in the National Environmental Policy quirements of this Order. Indicate that the United States has carrying out the agency's respons!- Act of 1969, as amended. Sec. 7. As used in this Order; already lost over 40 percent of our bilities for (1) acquiring, managing. Sec. 3. Any requests for new au- (a) The tergn
- agency" shall have 120 million acres of wetlands inven- and disposing of Federal lands and thorizations or appropriations trans- the same meaning as the term "Ex- ,
48 puessat moeistem voo es, no. s,.-eneAv. essaUARY IG,19FS 990EaAt RE90$fta, Vol 43, NO. 29-PRtDAY, Pf9RUARY le, Iers 49
1e * ' as i I NOUG5 ! NOTICES t ecutive agency" in Section 105 of Ing and Community Development ment. Such activities shall include taken or planned, including such ! Title 5 of the United States Code Act of 1974, as amended (88 Stat. those directed to controlling pollu- measures to be proposed to the - tion and enhancing the environment President as may be necessary to t t.nd shall include the military de- 640,42 U.S.C. 5304(h)), the responsi- l and those designed to accomplish bring their authority and policies t partments; the directives contained bilities under those provisions may other program objectives which may into conformance with the intent, in this Order, however, are meant to be assumed by the appropriate appli, affect the quality of the environ. purposes, and procedures of the Act, i tpply only to those agencies which cant, if the applicant has also as, ment. Agencies shall develop pro- shall be provided to the Council on ! perform the activities described in sumed, with respect to such projects, grams and measures to protect and Environmental Quality : not later 5 Section 1 which are located in or af- all of the responsibilities for envi. enhance environmental quality and than September 1,1970. fecting wetlands. ronmental review, decisionmaking, (e) Engage in exchange of data (b) The term **new construction" and action pursuant to the National shall assess progress in meeting the specific objectives of such activities, and research results, and cooperate , shall include draining, dredging. Environmental Policy Act of 1969, as Heads of agencies shall consult with with agencies of other governments t ch lizing r;g} na dikin amended. appropriate Federal, State and local to foster the purpose of the Act. Januv CARTER agencies in Carrying out their activi. Pr , in e in 1 - any struc'tures or facilities begun or ties as they affect the quality of the (f - c.uthorized after the eff ective date of The White House, 8 " Ir ( ) The term " wetlands" means those areas that are inundated by APPENDIX E-E.O.11514 b) ve procedures to ensure the fullest practicable provision of Y {L g t O y ' turface or ground water with a fre. PROTECTION AND ENHANCEMENT timely public information and un- by the Council except where such derstanding of Federal plans and quency sufficient to support and OF ENVIRONMENTAL QtIALITy environmental compilance would be inconsistent ! programs with with statutory requirements. under normal circumstances does or Impact in order to obtain the views would support a prevalence of vege. Encerpts Fran E.O. 11514 (March 5. Sec. 3 Responsibilities of Council 1976), as Amiended by E.O. 11991 of interested parties. These proce- on Eni7tronmental Quality. The i tctive or aquatic life that requires saturated or seasonally saturated (May 24,1977), Sees. 2(g) and 3(h) dures shall include, whe&ver appro' Council on Environmental Quality ; coil conditions for growth and repro- By virtue of the authority vested priate, provision for public hearings
- shall: I and shall provide the public with rel- (a) Evaluate existing and proposed duction. Wetlands generally include in me as President of the United twamps, marshes, boss, and similar States and in furtherance of the pur- evant information, including infor- policies and activities of the Federal t Eress such as aloughts, potholes, wet pose and policy of the National Envi- mation on alternative courses of Government directed to the control i meadows, river overflows, mud flats, ronmental Policy Act of 1969 (Public action. Federal agencies shall also of pollution and the enhancement of End natural ponds. Law No. 91-190, approved January 1, encourage State and local agencies the environment and to the accom- ;
See, 8. This Order does not apply 1970), it is ordered as follows. to adopt similar procedures inform- plishment of other objectives which t ing the public concerning their ac- affect the quality of the environ-to projects presently under construc- Section 1. Policy. The Federal tivities affecting the quality of the ment. This shall include continuing tion, or to projects for which all of Government shall provide leadership '"'ITON"*"t- review of procedures employed in l the funds have been appropriated in protecting and enhancing the ' through Fiscal Year 1977, or to pro- quality of the Nation's environment (c) Insure that information regard- the development and enforcement of jects and programs for which a draft to sustain and enrich human life. Ing existing or potential environ- Federal standards affecting environ- - Cr final environmental impact state- Federal agencies shall initiate mes- mental problems and control meth- mental quality. Based upon such ment will be filed prior to October 1 sures needed to direct their policies, ods developed as part of research, evaluations the Council shall, where ; ~ 1977. The provisions of Section 2 of plans and programs so as to meet na- development, demonstration, test, or appropriate, recommend to the , this Order shall be implemented by tional environmental goals. The evaluation activities is made avail- President policies and programs to , able to Federal agencies. States- achieve more effective protection i each agency not later than October Council on Environmental Quality, counties, municipalities, institutions. and enhancement of environmental l 1,1977. through the Chairman, shall advise and other entitles, as appropriate. quality and shall, where appropriate, Sec. 9. Nothing in this Order shall and assist the President in leading (d) Review their agencies' statu- seek resolution of significant envi- [ apply to assistance provided for this national effort. tory au$50rity, administrative regu- ronmental issues. ; emergency work, essential to save Sec. 2. Responsibilities of Federal lives and protect property and public agencies. Consonant with Title I of lattorr policies, and procedures, in- (b) Recommend to the President cluding those relating to loans, and to the agencies priorttles among } health and safety, performed pursu- the National Environmental Policy grants, contracts, leases, licenses, or programs designed for the control of ' e.nt to Sections 305 and 306 of the Act of 1969, hereafter referred to as pollution and for enhancement of permits, in order to identify any de- i Disaster Relief Act of 1974 (88 Stat. the "Act", the heads of Federal 148,42 U.S.C. 5145 and 5146). agencies shall: ficiencies or inconsistencies therein the environment. I a Sec.10. To the extent the provi- (a) Monitor, evaluate, and control which prohibit or limit full compil- (c) Determine the need for new j sions of Sections 2 and 5 of this on a continuing basis their agencies, ance with the purposes and provi- policies and programs for dealing sions of the Act. A report on this with environmental problems not Order are applicable to projects cov- acitivities so as to protect and en- review and the corrective actions being adequal'ely addressed. i tred by Section 104(h) of the Hous- hance the quality of the environ-
'""*" "'" V'" *' 8'-'' 'assuasy is, awe 51 53 sumamm eseesses, vot. es, eso. so_ssssay, sessuasy se, swa t
, - - . _ . - - - - _ . - - - ~ - - .-.__.---_ _ -- - - _ - _ _ - , - _ _ - - - - c - - - - - - - ~ , - - -
w* ' er e NOTICES (d) Conduct, as it determines to be impact statements to be concise, appropriate, public hearings or con- clear, and to the point, and support-ferences on lasues of environmental ed by evidence that agencies have ; significance, made the necessary environmental (e) Promote the development and analyses. The Council shall include use of indices and monitoring sys- in its regulations procedures (1) for tems (1) to assess environmental the early preparation of environ-conditions and trends. (2) to predict mental impact statements, and (2) the environmental impact of pro- for the referral to the Council of posed public and private actions, and conflicts between agencies concern-(3) to determine the effectiveness of ing the implementation of the programs for protecting and enhanc- Nation Environmental Policy Act of ing environmental quality. 1969, as amended, and Section 309 of (f) Coordinate Federal programs the Clean Air Act, as amended, for related to environmental quality. the Council's recommendation as to (g) Advise and assist the President their prompt resolution. and the agencies in achieving inter- (1) Issue such other instructions to l national cooperation for dealing agencies, and request such reports with environmental problems, under and other information from them, as the foreign policy guidance of the may be required to carry out the Secretary of State. Council's responsibilities under the (h) Issue regulations to Federal Act. agencies for the implementation of (J) Assist the President in prepar-the procedural provisions of the Act ing the annual Environmental Qual-(42 U.S.C. 4332(2)). Such regulations ity Report provided for in section shall be developed after consultation with affected agencies and after 201 of the Act. such public hearings as may be ap- (k) Poster investigations, studies, propriate. They will be designed to surveys, research, and analyses relat-make the environmental impact ing to (1) ecological systems and en-statement process more useful to vironmental quality, (11) the impact decisionmakers and the public; and of new and changing technologies to reduce paperwork and the accu- thereon, and (ill) means of prevent-mulation of extraneous background ing or reducing adverse effects from data, in order to emphasize the need such technologies. to focus on real environmental issues [FR Doc. 78-3766 Filed 2-9-78; 8:45 mal and alternatives. They will require
?
52 ressmat meessvea, voi_ sa no. w_semar, reanumer se, we -_ _ - __ _ - - - _ _}}